Engineered Nanomaterials:

Investigating substitution and

modification options to reduce
potential hazards

August 2010

Engineered Nanomaterials: Investigating

substitution and modification options to
reduce potential hazards
Acknowledgement
This review was commissioned by Safe Work Australia, through funding provided under the
National Nanotechnology Strategy and prepared by the RMIT OHS Research and Education
Centre at RMIT University, Melbourne, Australia. The review was undertaken by Dr Neale
Jackson (Project Manager), Associate Professor Susanne Tepe, and Associate Professor
Paul Wright (Project Coordinator).
This report has been reviewed by Safe Work Australias Nanotechnology OHS Advisory
Group, and Dr Howard Morris, Nanotechnology Work Health and Safety Program Manager,
Safe Work Australia.
Additional helpful comments were provided by Professor Terry Turney, Centre for Green
Chemistry, Monash University, Melbourne, Australia. Neale Jackson, Paul Wright and Terry
Turney are members of the Nanosafe Australia research network
(www.rmit.edu.au/nanosafe).
Safe Work Australia gratefully acknowledges the ANU College of Science for the
photograph used on the front cover.

Disclaimer
The information provided in this document can only assist you in the most general way. This
document does not replace any statutory requirements under any relevant State and
Territory legislation. Safe Work Australia is not liable for any loss resulting from any action
taken or reliance made by you on the information or material contained on this document.
Before relying on the material, users should carefully make their own assessment as to its
accuracy, currency, completeness and relevance for their purposes, and should obtain any
appropriate professional advice relevant to their particular circumstances.
To the extent that the material on this document includes views or recommendations of third
parties, such views or recommendations do not necessarily reflect the views of Safe Work
Australia or indicate its commitment to a particular course of action.

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Table of Contents
Acknowledgement........................................................................................................................ 2
Disclaimer .................................................................................................................................... 2
List of abbreviations ..................................................................................................................... 6
Executive Summary ..................................................................................................................... 7
Summary from the survey ........................................................................................................7
Summary of the literature review.............................................................................................. 8
1 Background and scope of this report ...................................................................................... 10
1.1 Background ...................................................................................................................... 10
1.2 Scope of the review.......................................................................................................... 10
2 Substitution/modification of nanomaterials survey .................................................................. 12
2.1 Results of previous surveys on nanomaterials used in Australia ..................................... 12
2.2 Substitution/modification survey method .......................................................................... 14
2.3 Survey results................................................................................................................... 14
2.3.1 Work Sector ............................................................................................................... 14
2.3.2 Types of engineered nanomaterials .......................................................................... 15
2.3.3 Types of activities using nanomaterials ..................................................................... 17
2.3.4 Sources of engineered nanomaterials ....................................................................... 18
2.3.5 Health and safety considerations............................................................................... 19
2.3.6 Use of modification and substitution .......................................................................... 20
2.4 Summary from the survey ................................................................................................ 23
3 Literature review for substitution/modification options for engineered nanomaterials............. 25
3.1 Mechanisms of nanoparticle toxicity in biological systems............................................... 25
3.1.1 Importance of nanoparticle size for cell uptake ......................................................... 29
3.1.2 Importance of surface charge for cell uptake............................................................. 31
3.1.3 Importance of cell specific effects for nanoparticle uptake ........................................ 32
3.1.4 Importance of surface modification for nanoparticle uptake ...................................... 33
3.1.5 Biocompatibility and surface coatings........................................................................ 34
4 Substitution/modification options for specific engineered nanomaterials................................ 35
4.1 Carbon nanotubes............................................................................................................ 35
4.1.1 Background................................................................................................................ 35
4.1.2 Toxicology of carbon nanotubes................................................................................ 37
4.1.3 Potential substitution/modification of carbon nanotubes............................................ 38
4.1.4 Impact of modification on potential exposure levels .................................................. 42
4.1.5 Conclusions ............................................................................................................... 42
4.2 Fullerenes......................................................................................................................... 43
4.2.1 Background................................................................................................................ 43
4.2.2 Toxicology of fullerenes ............................................................................................. 44
4.2.3 Potential substitution/modification of fullerenes......................................................... 45
4.2.4 Conclusions ............................................................................................................... 45
4.3 Nano titanium dioxide (TiO2) ............................................................................................ 46
4.3.1 Background................................................................................................................ 46
4.3.2 Toxicology of nano titanium dioxide........................................................................... 46
4.3.3 Potential substitution/modification of nano titanium dioxide ...................................... 47
4.3.4 Conclusions ............................................................................................................... 48
4.4 Nano cerium dioxide (CeO2)............................................................................................. 49
4.4.1 Background................................................................................................................ 49
4.4.2 Toxicology of nano cerium dioxide ............................................................................ 49
4.4.3 Conclusions ............................................................................................................... 51
4.5 Nano zinc oxide (ZnO) ..................................................................................................... 51
4.5.1 Background................................................................................................................ 51
4

4.5.2 Toxicology of nano zinc oxide.................................................................................... 52

4.5.3 Potential substitution/modification of nano zinc oxide ............................................... 52
4.5.4 Conclusions ............................................................................................................... 54
4.6 Nano gold (Au) ................................................................................................................. 54
4.6.1 Background................................................................................................................ 54
4.6.2 Toxicology of nano gold............................................................................................. 54
4.6.3 Potential substitution/modification of nano gold......................................................... 57
4.6.4 Conclusions ............................................................................................................... 58
4.7 Nano silver (Ag)................................................................................................................ 58
4.7.1 Background................................................................................................................ 58
4.7.2 Toxicology of nano silver ........................................................................................... 59
4.7.3 Potential substitution/modification of nano silver ....................................................... 59
4.7.4 Conclusions ............................................................................................................... 60
4.8 Nano silica (SiO2) ............................................................................................................. 60
4.8.1 Introduction ................................................................................................................ 60
4.8.2 Toxicology of nano silica............................................................................................ 61
4.8.3 Potential substitution/modification of nano silica ....................................................... 61
4.8.4 Conclusions ............................................................................................................... 62
4.9 Quantum dots................................................................................................................... 63
4.9.1 Background................................................................................................................ 63
4.9.2 Toxicology of quantum dots....................................................................................... 63
4.9.3 Methods of modification of quantum dots .................................................................. 64
4.9.4 Conclusions ............................................................................................................... 65
4.10 Conclusions on substitution/modification options for engineered nanomaterials ........... 66
References................................................................................................................................. 69
Appendix 1 - Substitution/modification of nanomaterials survey questionnaire ......................... 79

List of abbreviations
ANA
ANBF
APTES
ARCNN
BSA
CME
CNTs
CPC
CTAB
CVD
DNA
EFTEM
FITC
FR+
FTIR
Her2
HHPC
HIPCO
hMSC
HSA
IARC
IR
LDH
LDL
LMCS
NICNAS
NMs
NMR
NP
MSDS
MSN
MTT
MWCNT
OHS
PEG
PLGA
PPE
PVA
QD
RBC
RCEC
ROI
ROS
SEM
SWCNT
TEM
TPGS
TSDC
UFP
XPS
XRD

Australian Nanotechnology Alliance

Australian Nano Business Forum
Aminopropyltriethoxysilane
Australian Research Council Nanotechnology Network
Bovine Serum Albumin
Clathrin-Mediated Endocytosis
Carbon Nanotubes
Condensation Particle Counter
Cetyltrimethyl Ammonium Bromide
Chemical Vapour Deposition
Deoxyribonucleic Acid
Energy Filtering Transmission Electron Microscopy
Fluorescein Isothiocyanate
Folate Receptor Positive
Fourier Transform Infrared
Human Epidermal Growth Factor Type 2
Hand Held Particle Counter
High Pressure Carbon Monoxide
Human Mesenchymal Stem Cell
Human Serum Albumin
International Agency for Research on Cancer
Infrared
Lactate Dehydrogenase
Low Density Lipoprotein
Low Molecular Weight Chitosan
National Industrial Chemicals Notification and Assessment Scheme for Australia
Nanomaterials
Nuclear Magnetic Resonance
Nanoparticle
Material Safety Data Sheet
Mesoporous Silica Nanoparticle
3-(4,5-Dimethylthiazol-2-yl)-2,5-Diphenyltetrazolium Bromide
Multi-Walled Carbon Nanotubes
Occupational Health and Safety
Polyethylene glycol
Poly(D,L-lactic-co-glycolic acid)
Personal Protective Equipment
Polyvinyl Alcohol
Quantum Dot
Red Blood Cell
Rabbit Conjunctival Epithelial Cells
Reactive Oxygen Intermediates
Reactive Oxygen Species
Scanning Electron Microscopy
Single-Walled Carbon Nanotubes
Transmission Electron Microscopy
d-Alpha-Tocopheryl Polyethylene Glycol 1000 Succinate
Thermally Stable Depolarisation Currents
Ultra Fine Particles
X-ray Photo Electron Spectroscopy
X-Ray Diffraction

Executive Summary
In a review of the evidence on the effectiveness of workplace controls to prevent exposure
to engineered nanomaterials it was found that little focus has to date been placed on use of
substitution or modification for nanotechnology work health and safety purposes. Therefore,
Safe Work Australia commissioned RMIT to undertake a survey of the current
substitution/modification practices used in Australian nanotechnology-related activities and a
literature review in order to determine the potential substitution/modification options that may
reduce the toxicity of engineered nanomaterials used in Australia.
Summary from the survey
a) There were 38 respondents to the survey, who reported working on a range of different
types of nanomaterials. The respondents organisations were primarily universities,
commercial/industry and government research groups. The most common nanomaterials
handled are metal oxides, metals and carbon nanotubes and the most common areas of
application are into energy, medical, surface coating and textile uses.
b) Many organisations (27/35), and notably universities (20/21), manufacture their own
engineered nanomaterials, and a significant number also purchase them from overseas or
from within Australia (see Figure 3).
c) A number of respondents obtained work health and safety information about the
nanomaterials that they are using from an MSDS. The main work health and safety issues
examined for engineered nanomaterials are handling and storage, physical and chemical
properties, toxicological data and exposure controls/personal protective equipment (PPE)
(see Table D). The available information on these topics is limited.
d) Most respondents indicated that substitution/modification is used to change the functional
properties of the product (see Figure 4). A work sector analysis indicates that
substitution/modification occurs more in university research and less in commercial/industry
research which is as expected in product development.
e) The five properties that are manipulated by modifying or substituting engineered
nanomaterials by the highest number of organisations are particle size, physical properties,
agglomeration properties, chemical properties and conductive properties. A small number of
respondents indicated that they use substitution/modification to change the health or
toxicological properties (see Figure 5).
f) Adding functional groups (17 responses) and modifying surface characteristics (16
responses) are the two most popular methods for the substitution/modification of engineered
nanomaterials. Others include changing the form of the material, the particle size and
shape, and the crystalline structure (see Figure 6).
g) Australias nanotechnology activities are generally at the early stage of nanomaterial
development, i.e. more focussed on de novo research than later stages of product
development/production. However substitution/modification methodologies are well known
and used in Australia and thus there is an existing capability that might be applied more
broadly to work health and safety related purposes.

Summary of the literature review

a) The mechanisms by which nanoparticles enter biological systems and subsequently
cause toxicity are dependent on factors such as nanoparticle or aggregate size,
physicochemical characteristics of particle surfaces (e.g. surface charge), biocompatibility
and cell-specific effects on nanoparticle uptake. Various substitution and modification
strategies for a range of nanomaterials have been described in the scientific literature.
b) Carbon nanotubes (CNTs) can be functionalised and surface-modified to increase their
solubility and biocompatibility. It is also possible to reduce their chronic toxicity potential by
using short CNTs and keeping their length to less than 5m. Further investigation of the
toxicity of these modified CNTs needs to be made to assess the extent of the reduction in
potential workplace hazard.
c) When formulating a new product or use, the toxicity of fullerenes can be controlled by
attaching functional groups to the fullerene moiety. Specifically, attaching water solubilising
groups such as carboxyl or alcohol groups, will increase the solubility and lead to reduced
toxicity of the prepared fullerene. This modification will also alter particle aggregation
behaviour in water and its potential bioavailability and reactivity in aquatic systems, and this
area requires further investigation.
d) It can be concluded that when formulating a new nano titanium dioxide (TiO2) product or
use, its potential toxicity can be controlled by varying the crystalline form used, i.e. use the
less reactive rutile form rather than the more reactive and photocatalyitc anatase form where
functionally possible.
e) It can be ascertained that nano ceria under specific conditions exhibits antioxidant and
biocompatible properties. However, outside this range of conditions antioxidant behaviour is
not exhibited, and its redox cycling ability may be pro-oxidant. In an aquatic system, nano
ceria has been found to be more toxic than the micron sized particles. It is not possible at
this stage to suggest modifications that can be made to nano ceria until more data are
obtained.
f) It can be concluded that nano zinc oxide (ZnO) used in sunscreen type products and for
other similar applications exhibits a low level of toxicity and dermal penetration into the
human body. There are surface modification options available for ZnO which have the
potential to reduce toxicity further, in addition to structural modifications that help retain
functionality, such as doping the ZnO crystalline lattice.
g) Nano gold particles can be surface-coated, e.g. with phosphatidylcholine, or
encapsulated with biocompatible biopolymers, e.g. chitosan or polyethylene glycol, to
reduce toxicity, whilst retaining functionality and useability. Alkanethiol-capping may be used
to increase biocompatibility and also functionalise the nano gold for a range of biomedical
applications.
h) Nano silver can be surface modified with hydrophilic groups, such as phosphorylcholine
or phosphorylethanolamine, to increase biocompatibility. Such modifications would also
decrease its antibacterial activity and potential usefulness in many current applications.
However, further functionalisation of biocompatible forms of nano silver may provide
potential new applications, such as in biomedical diagnostics and biosensors.

i) It is possible to modify the surface of nano silica with alkylsilylation, polymers or proteins to
increase its hydrophobic character, causing increased particle aggregation and reduced
direct membrane effects, and thereby improving its biocompatibility. Due to potential toxicity
of silica nanomaterials with high aspect ratios, consideration should also be made as to
whether nanowires may be substituted with nanospheres, while retaining functionality for a
particular application.
j) It is possible to encapsulate quantum dot cores with stable shell coatings made from
biocompatible polymers, e.g. chitosan or polyethylene glycol, to significantly reduce their
cellular uptake and degradation, and consequently their cytotoxicity, whilst retaining
functionality and useability.
Implications for work health and safety
There are known methods that can be used to substitute/modify engineered nanomaterials
that are used, or researched, in Australia. The methods of surface modification,
encapsulation, particle size control, functional group addition and crystalline phase type
control can each be employed for different engineered nanomaterials to decrease their
potential toxicity. However in some cases, such modifications may affect the functionality of
nanomaterials in relation to intended end-uses.
If the researchers, developers and manufacturers of engineered nanomaterials adopt these
methods then it is possible to re-engineer nanomaterials in the early stages of development
to reduce the potential toxicity of manufactured nanomaterials. The downstream effect of
this will be to reduce the risk posed by the use of these nanomaterials not only in the
workplace but also in the general community.

1 Background and scope of this report

1.1 Background
There has been an exponential growth in the development of nanomaterials and
nanotechnology applications. This has been accompanied by an increased awareness of
nanosafety issues in government, academia, industry and public groups.
In 2008, nanosafety experts at RMIT University were commissioned by Safe Work Australia
to examine the evidence on the effectiveness of the workplace controls that are used to
prevent or minimise exposure to engineered nanomaterials during their life-cycle of
manufacture, handling, use and disposal (Jackson et al. 2009). This report indicated that
there are a range of control methods that can be used effectively to protect workers from
exposure to engineered nanomaterials. These are mainly based around the lower levels of
the hierarchy of controls, i.e. engineering controls (enclosure, ventilation/extraction),
administrative controls and PPE.
In order to move up the hierarchy of controls, it is necessary to consider options for the
elimination, substitution and/or modification of the chemical and physical properties of
engineered nanomaterials.
The report (Jackson et al. 2009) found that a more detailed investigation of the substitution
or modification control options for reducing the intrinsic hazard and toxic potential of
nanomaterials was warranted. Consequently, Safe Work Australia commissioned
nanosafety experts at RMIT University to undertake a further review to investigate
substitution and modification options available to reduce potential hazards associated with
different types of engineered nanomaterials.
This report covers findings available in the open literature up to the last quarter of 2009, with
a small amount of additional material included from early 2010 literature during the report
review process.
1.2 Scope of the review
The review was commissioned by Safe Work Australia to address the following matters:

10

identify Australian and overseas businesses, research institutions and organisations

that are engaged in the examination of the potential substitution of engineered
nanomaterials, and the topics being examined

evaluate research results relating to substitution/modification, including consideration

of whether the modified materials maintain required functionality

identify potential substitution/modification opportunities, and compare the hazardous

properties of currently used engineered nanomaterials with their substitutes where
possible

evaluate potential opportunities for the protection of health and safety in Australian
workplaces, and

identify issues for further consideration.

Input from relevant sources of nanotechnology, occupational hygiene, toxicology, particle

characterisation and other scientific expertise was sought to ensure the accuracy of the
assessment and relevance for nanotechnology applications in Australia.
Two strategies were used in this study:
a) a survey of individuals employed in Australian nanotechnology-related activities in order
to identify Australian businesses, research institutions and organisations that are engaged in
the examination of potential substitution/modification of engineered nanomaterials, and to
identify the engineered nanomaterials being examined
b) a literature review of the possible substitution and modification options for the range of
engineered nanomaterials that are used in Australia which may reduce potential health and
safety risks. In addition, the literature review covers relevant background material, e.g.
toxicology, that is important in understanding substitution/modification options for different
engineered nanomaterials.

11

2 Substitution/modification of nanomaterials survey

2.1 Results of previous surveys on nanomaterials used in Australia
The National Industrial Chemicals Notification and Assessment Scheme (NICNAS) for
Australia issued a voluntary call for information on nanomaterials in February 2006. The
notice appeared in the Chemical Gazette which is a monthly publication containing
information relevant to NICNAS, such as changes to NICNAS legislation, newly assessed
chemicals and the register of industrial chemical introducers. The call for information was
directed to all persons who manufactured or imported nanomaterials or products (mixtures)
containing nanomaterials for industrial uses during 2005 and 2006. Companies were asked
to provide information on the types of nanomaterials, their volume of introduction and uses.
Nanomaterials used exclusively as therapeutic goods (such as sunscreens), food or food
additives and agricultural or veterinary chemicals, do not fall within the scope of NICNAS
and were consequently outside the call for information (NICNAS 2007).
To ensure confidentiality of the information reported, the data were aggregated and
presented as generic chemical names and ranges of materials used (NICNAS 2007). In this
survey, 17 types of nanomaterials were used in a number of applications at various volume
(tonnage) levels (Table A). Inorganic (e.g. metals) and organic (e.g. polymer) nanomaterials
were reported as being used by four organisations for research and development purposes
and by seventeen organisations for commercial purposes. Commercial applications were
classified into cosmetics, domestic products, catalysts, water treatment, surface coatings
and printing. Most materials were used in quantities of less than 1 tonne/year, however
acrylic latex used in surface coatings at 10,000-50,000 tonnes/year is a significantly larger
volume material. Metal oxides were the largest group, being used for domestic products,
printing, cosmetics, water treatment, catalysts and surface coatings. All nanomaterial types
were reported as being imported, but some, such as silicon dioxide, cerium oxide, zinc
oxide and acrylic latex, were also manufactured in Australia (NICNAS 2007).
It should be noted that some of the total volume usage information appeared to be
underestimated, which may have been due to the voluntary nature of the NICNAS survey.
Notably, the usage of carbon black in vehicle tyres and photocopier cartridges was likely to
have not been included in the quantity shown in Table A for carbon black pigment in surface
coating applications. Similarly, the total volume usage for iron oxide in surface coatings
appears to be an underestimate, considering its wide usage as a brown pigment in paint
and staining products. Also the call for information targeted industrial use, and thus
research organisations using for example carbon nanotubes (CNTs) would not show up in
the survey results.
NICNAS undertook a further voluntary survey during 2008/9, which also appeared in the
Chemical Gazette, but received very few responses. This survey was open to all persons
who had manufactured or imported nanomaterials, or products (mixtures) containing
nanomaterials, for commercial or research and development purposes. NICNAS sought
specific information about each nanomaterial above a 100g/year quantity threshold,
including: chemical identity and volume; holdings of existing physicochemical data,
environmental fate and ecotoxicological data, and human or modelled toxicological data;
and usage and life cycle information.

12

Table A: Usage of nanomaterials from commercial sectors in Australia (taken from

NICNAS 2007)
Chemical Name

Applications

Total volume
(Tonnes per year)

Acrylic latex

Surface coatings

10000-50000

Aluminium oxide

Printing

0.05-0.1

Aluminosilicates

Water treatment

10-50

Carbon black pigment

Surface coatings

10-50

Cerium oxide

Catalysts

1-5

Iron oxide

Surface coatings

1-5

Cosmetics

<0.01

Pearl powder

Cosmetics

0.01-0.05

Phthalocyanine

Surface coatings

10-50

Polyurethane resin

Surface coatings

<0.01

Silica dimethyl silyate

Cosmetics

<0.01

Silicon dioxide

Surface coatings

10-50

Water treatment

0.05-0.1

Sodium silicates

Water treatment

0.1-0.5

Surface treated silicon dioxide

Printing

1-5

Surface treated aluminium oxide

Printing

0.1-0.5

Surface treated titanium oxide

Printing

0.5-1

Titanium dioxide

Water treatment

5-10

Domestic products

1-5

Cosmetics

1-5

Surface coatings

5-10

Cosmetics

1-5

Zinc oxide

13

2.2 Substitution/modification survey method

For the purposes of understanding what research was being done to reduce the hazard of
nanomaterials through modification and substitution, a survey of organisations known to
use engineered nanomaterials was undertaken in the form of an online questionnaire with
specific focus on the use of substitution/modification options for engineered nanomaterials.
Method: The Australian Nano Business Forum (ANBF), the Australian Nanotechnology
Alliance (ANA) and the Australian Research Council Nanotechnology Network (ARCNN)
were contacted to determine their willingness to assist in the distribution of the
questionnaire. Each organisation distributed an email requesting participation in the survey
to named individual representatives on the mailing list of their member organisations. The
request described the purpose of the survey and provided a weblink to the online
questionnaire.
The survey was developed in SurveyMonkey (available at www.surveymonkey.com). See
Appendix 1 for a full copy of the survey. It consisted of 12 questions, which either; (a)
provided drop down lists of possible responses, or (b) asked for a free-text response.
Specifically the following information was requested in the survey:
a) demographic information about the organisation
b) the types of engineered nanomaterials being used
c) the types of activities that are being undertaken with these engineered nanomaterials
d) where and how the engineered nanomaterials are obtained
e) the health and safety issues that are considered when deciding which engineered
nanomaterials to purchase
f) the health and safety issues that are considered in the design of a new engineered
nanomaterial
g) if substitution/modification options are considered as a means to change the
attributes/properties of engineered nanomaterials
h) the reasons why modification or substitution is undertaken for engineered nanomaterials
i) the approaches that are considered in order to modify the engineered nanomaterial
j) the willingness of participants to provide further information through interview.
Thirty eight (38) survey responses were received and collated. The demographic
information was used to further categorise the responses provided by individual
respondents, using three research sector categories.
2.3 Survey results
The following responses were received from respondents in answer to the survey
questions.
2.3.1 Work Sector
Participants were asked in Question 1: Which of the following best describes the industry
sector you work in? Participants were provided with four response options (university
research, commercial/industry research, government research and other) and multiple
response options were allowed.

14

There were 38 respondents to this question. Of these respondents 35 work in research,

with four of the respondents indicating that they worked in two or more research sectors.
Thirteen indicated that they were involved in commercial/industry research, five in
government research and 21 in university research (see Figure 1). Three respondents
indicated other non-research nanotechnology-related work sectors in education, journalism
and government policy.
These results can be interpreted as being typical for the early stage of nanomaterial
development, where the majority of activity is still occurring in the research and early
development of engineered nanomaterials and their potential applications.

University Research
Commercial/Industry Research

13

21

Government Research

Figure 1: Respondents nanotechnology research sectors

2.3.2 Types of engineered nanomaterials
Participants were asked in Question 2: What type(s) of engineered nanomaterials does
your organisation work with? Respondents were asked to choose from a drop down list of
type of nanomaterials, namely carbon nanotubes (multi-walled), carbon nanotubes (singlewalled), dendrimers, fullerenes, graphene sheets, metal oxides, metals, nanoarrays,
nanocrystals, nanowires, quantum dots and other (please specify). Multiple responses were
permitted.
Of the 38 completed surveys, 35 respondents answered this question and 25 of the
respondents named more than one nanomaterial. Figure 2 shows the number of responses
for each nanomaterial type; carbon nanotubes (multi-walled) (15), carbon nanotubes
(single-walled) (12), dendrimers (6), fullerenes (5), graphene sheets (5), metal oxides (24),
metals (17), nanoarrays (7), nanocrystals (9), nanowires (6), quantum dots (10) and other
(8). Figure 2 also indicates which research sector uses each nanomaterial.

15

The other engineered nanomaterials that respondents reported using are nanofibres,
metallic nanoparticles, nanomembranes, montmorillonite clays, gold nanoparticles and
nanostructured proteins.
The nanomaterials being used by the highest number of responding organisations are metal
oxides, metals and carbon nanotubes, with 71% of organisations using more than one
material.
30

No. of Responses

25
20

University Research
Commercial/Industrial Research

15

Government Research

10
5

O
th
er

M
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on
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es
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et
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ua
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ar
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w
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s
Fu
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Figure 2: Types of engineered nanomaterials used

Question 3 requested further information from respondents regarding specific types of
nanomaterials used. Respondents were asked: If you have extra information about the
type(s) of materials you work with, please write it here. For example, if you work with metal
oxides, please describe the type of oxide, e.g. zinc oxide or titanium dioxide.
Twenty six respondents reported working with a wide range of materials (see Table B).
While Question 2 described the general forms of the most commonly used nanomaterials,
Question 3 provided more information about the chemical moieties involved in the
nanomaterials.
These data illustrate that there are many types of nanomaterials being used in Australian
research activities, with the metal and metal oxides being the most common types. It is
noted that this information is about occurrence of use, i.e. number of organisations using
the nanomaterials, not about frequency or quantity of use within the organisations.

16

Table B: Specific types of nanomaterials used

Group of
nanomaterials

Type of material
(from Q3)

(from Q2)
Metal Oxides

Metals

Carbonaceous

Quantum dots

Other

Titanium dioxide
Zinc oxide
Iron oxide
Cerium oxide
Alumina, porous silica
Amorphous alumina
Tin dioxide
Zirconium oxide
Nano gold
Nano silver
Iron
Cobalt
Copper
Metallic nano arrays
Nickel
Palladium
Platinum
Titanium
Zinc
CNT composites
Silk
Wool
Cellulose
Polystyrene/latex
Carbon
Nanoflex
Dendrimers for transdermal delivery
CdSe
CdS
ZnSe
CdZn
Zinc glycerite
Nanoflex
Materials for defence applications

Number of
organisations
working with the
engineered
nanomaterials
9
7
5
2
1
1
1
1
6
4
3
2
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
2
1
1
1
1
1
1

2.3.3 Types of activities using nanomaterials

Participants were asked in Question 4 of the survey: Please describe the type(s) of
activities in which you use engineered nanomaterials (e.g. developing nanomaterials for use
in textiles). This was a free text request for information.
There were 32 respondents reporting a range of activities. Table C below summarises the
responses that were received. The authors recognise that these activities may be grouped
into a number of different categories, e.g. medical, chemical, and electrical applications.
However, without supplementary information for items that could be allocated to multiple

17

categories, such as separation membranes and size characterisation, further

classification of the activities has not been done for this report.
Table C: Types of activities using nanomaterials as described by respondents
Description

Number of respondents
involved in this activity.

Solar cells
6
Medical
5
Composites
5
Better metallic properties
4
Textiles
4
Plastic modification
3
Sensors
2
1 response for each of the following activities
Adsorption of waste
Batteries
Catalysis
CVD growth
Dispersion of CNTs
Drug delivery
Electric conductive devices
Electro optical studies
Electrochemical processes
Electronics
Energy
Environmental
Fluorescence
Functional devices
Functionalization
Hydrogen storage

Ionic liquids
Journalism
Nano scaffolds
Opto-electronic devices
Paints
Personal care products
Pharmaceuticals
Pro-drugs using dendrimers
Separation membranes
Size characterisation
Surface coatings
Thermal processes
Toxicity testing
UV-shielding
Water treatment

2.3.4 Sources of engineered nanomaterials

Respondents were asked in Question 5 of the survey: How do you obtain the engineered
nanomaterials? Please tick all options that apply.
There were 35 respondents who answered this question, with 18 (51%) of the respondents
indicating that they obtained nanomaterials from more than one source. Twenty seven (27)
reported that they manufactured their own engineered nanomaterials, 19 reported they
obtained them from overseas and 16 reported they obtained them from within Australia (see
Figure 3). Twenty two out of 35 respondents (63%) indicated that they purchased at least
some or all of their engineered nanomaterials.
Figure 3 includes a work sector analysis which indicates that of the respondents, a higher
proportion of researchers working in universities manufacture their own nanomaterials
(20/21) than researchers working either in commercial/industrial (8/13) or government (3/5)
sectors.
These data indicate that with 77% of respondents manufacturing nanomaterials, there may
be opportunities in Australia to examine substitution and modification of nanomaterials for

18

work health and safety reasons during manufacturing, particularly in universities. There may
also be opportunities during handling and use of the nanomaterials.
30

25

No. of Responses

20
University Research
Commercial/Industrial Research

15

Government Research
10

0
Manufacture them

From Overseas

From Australia

Figure 3: Sources of engineered nanomaterials for Australian organisations

2.3.5 Health and safety considerations
In Question 6 respondents were asked: If you purchase engineered nanomaterials, what
health and safety issues do you consider when deciding which materials to purchase? In
Question 7 respondents were asked: If you manufacture the nanomaterials, what health
and safety issues do you consider in their design? These were both free text requests for
information in which multiple issues could be reported.
From 20 respondents in Question 6, 27 issues were reported as being considered. Eight
respondents indicated they obtained a Material Safety Data Sheet (MSDS), while 16
reported examining specific work health and safety issues, and there were three responses
in which safety was not mentioned (see Table D).
From 25 respondents in Question 7 there were 36 issues reported as being considered.
Two respondents indicated they obtained an MSDS, while 30 reported examining specific
work health and safety issues, and there were four responses in which safety was not
mentioned (see Table D).
It is interesting to note that those who purchase the nanomaterials are able to request
information from their supplier. Thus, a higher number of purchasing respondents indicated
that they seek an MSDS for the material.

19

Table D: Issues considered in assessing engineered nanomaterials

Response/Issue reported

Purchasing (Q6)

Manufacturing (Q7)

Number of issues reported

Obtain an MSDS

Concerned with handling and storage

Concerned with exposure controls/PPE

and exposure limits

Concerned with physical and chemical

properties

Concerned with obtaining toxicological

information

Concerned with disposal considerations

Concerned with obtaining transport

information

Responses in which safety was not

mentioned

2.3.6 Use of modification and substitution

Respondents were asked in Question 8 of the survey: If you obtain the nanomaterials
from Australia or overseas, do you use modification and/or substitution to change their
attributes/properties?
There were 28 respondents for this question; 18 (64%) indicated that they do use
modification and/or substitution to change the properties of their nanomaterials, while 10
(36%) indicated that they do not.
The responses were analysed by work sector (see Figure 4). Substitution/modification was
reported to be used most frequently in university research (80%) and least frequently in
commercial/industry research (46%).
If a respondent answered yes to Question 8, then they were asked in Question 9: Why do
you modify and/or substitute the engineered nanomaterials? Is it to change and a list of
15 properties and attributes were presented as well as a text box for Other, with multiple
responses permitted.
The 18 respondents provided a total of 92 responses to this question (see Figure 5),
including two using the Other option, which specifically reported surface properties.

20

16

14

No of Responses

12

10
No

Yes

0
Government Research

Commercial/Industrial Research

University Research

Figure 4: Use of modification and substitution in different research sectors

14

12

No. of Responses

10

University Research
Commercial/Industrial Research

Government Research

pa
ph
rt i
ag
ys
cl
e
ic
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si
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om
lp
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er
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es
ch
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er
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al
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op
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Figure 5: Reasons why properties are altered by modification or substitution of

nanomaterials
There were many reasons reported for modifying/substituting engineered nanomaterials.
These are mainly performed as a means to manipulate the properties of the final product so

21

that it exhibits the required functional properties, e.g. the particle size of nano titania is
manipulated in order to optimise its optical properties when used as a sun screening agent.
The five optional answers relating directly to work health and safety, hazardous,
toxicological or environmental properties were either the least often selected or not selected
at all.
In Question 10 respondents were asked: What approaches do you use to
modify/substitute the nanomaterials? Please tick all options that apply. Respondents were
offered a list of six choices plus other.
There were 77 responses given from 22 respondents (see Figure 6), including two
responses using the other option which specifically indicated security in confidence.
18
16
14

No of Responses

12
University Research

10

Commercial/Industrial Research
8

Government Research

6
4
2

er
th

llin
e
cr
ys
ta

pa
M

od
ify

ng
e
C
ha

ct
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e

rti
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e
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ze

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ria
at
e
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th
e

fo
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e
C
ha

od
ify

su
r

Ad
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fu

fa
ce

rm

of

ch
a

nc
tio

na

ra
ct
e

lg

ro
u

ris
tic
s

ps

Figure 6: Approaches used to modify or substitute nanomaterials

The responses to this question show the different techniques used in the practice of
substitution and/or modification of nanomaterials. As in Question 9, the techniques are
indicative of those used to achieve the primary research goal of functional optimisation of
the material.
The most common forms of substitution/modification are functional group addition and
modification of surface characteristics, next most common are to change the form of the
material and to change particle size, and less common are to change particle shape and
crystalline structure.
Reflecting the overall use of substitution/modification (Figure 4), a work sector analysis
indicated that the university research sector was the main cohort in all of the approaches
used for substituting/modifying engineered nanomaterials.

22

As information progressively becomes available in the scientific and public domain about
the potential use of a substitution and/or modification technique for specific engineered
nanomaterials, such techniques are more likely to also be used as a means of reducing the
hazards of nanomaterials.
Additional comments were requested in Question 11. Respondents were asked; If there is
anything you would like to add about nanomaterial modification/substitution that you would
like us to specifically consider, please write it here.....
There were five responses to this question, with respondents 1-4 working in research; these
are given in Table E.
Table E: Additional comments about the substitution/modification of engineered
nanomaterials
Respondent
1

3
4
5

Response
As a fundamental research institute, it is important that we have access to
all types of nanomaterials to determine their uses and their safety/toxicity. I
would like to see some guidelines for the researchers to protect their
health from potentially toxic nanomaterials.
Most modifications performed in our laboratory are considered standard
and in fact important avenues of research. Any dangers involved in the
modification of nanomaterials seem parallel to chemical research of any
other kind.
The nanoparticles are dispersed in molten polymer using shear to disperse
them.
In general the use, manufacture and substitution/modification of
nanomaterials is no different to that of ordinary chemistry based materials.
Yes, a lot more research into the OHS effects of working with
nanomaterials

Of the responses to this question (see Table E), answers 2 and 4 indicate that nanomaterial
research is similar to other chemical research, presumably indicating that they have other
chemical research practices under appropriate control. Answers 1 and 5 indicate they would
appreciate more specifically targeted work health and safety information.
2.4 Summary from the survey
a) There were 38 respondents to the survey, who reported working on a range of different
types of nanomaterials. The respondents organisations were primarily from universities,
commercial/industry and government research groups. The most common nanomaterials
handled are metal oxides, metals and carbon nanotubes and the most common areas of
application are into energy, medical, surface coating and textile uses.
b) Many organisations (27/35), and notably universities (20/21), manufacture their own
engineered nanomaterials. A significant number also purchase them from overseas or from
within Australia (see Figure 3).
c) A number of respondents obtained work health and safety information about the
nanomaterials that they are using from an MSDS. The main work health and safety issues
examined for engineered nanomaterials are handling and storage, physical and chemical

23

properties, toxicological data and exposure controls/PPE (see Table D). The available
information on these topics is limited.
d) Most respondents indicated that substitution/modification is used to change the
functional properties of the product (see Figure 4). A work sector analysis indicates that
substitution/modification occurs more in university research and less in commercial/industry
research which is as expected in product development.
e) The five properties that are manipulated by modifying or substituting engineered
nanomaterials by the highest number of organisations are particle size, physical properties,
agglomeration properties, chemical properties and conductive properties. A small number of
respondents indicated that they use substitution/modification to change the health hazard or
toxicological properties (see Figure 5).
f) Adding functional groups (17 responses) and modifying surface characteristics (16
responses) are the two most popular methods of substitution/modification of engineered
nanomaterials. Others include changing the form of the material, the particle size and shape
and the crystalline structure (see Figure 6).
g) Australias nanotechnology activities are generally at the early stage of nanomaterial
development, i.e. more focussed on de novo research than later stages of product
development/production. However substitution/modification methodologies are well known
and used in Australia and thus there is an existing capability that might be applied more
broadly to work health and safety related purposes.

24

3 Literature review for substitution/modification options for

engineered nanomaterials
Application of the hierarchy of control is the accepted method by which control actions can
be determined for identified workplace hazards. Substitution/modification is the second rung
on the hierarchy of hazard control methods after elimination, with the other options being (in
descending order of priority for implementation) engineering controls (including
isolation/enclosure), administrative controls and personal protective equipment.
There are both physical and chemical methods of substitution/modification. Physical
methods include changing the form of the material. For example, a dry and dusty powder
may be a significant inhalation hazard but if the material can be used as pellets, flakes or in
a paste then this may result in less dust in the air and lower levels of exposure.
Chemical methods involve changing a hazardous material for a less hazardous one.
Examples include substituting water-based detergents for organic solvents, using non-lead
containing glazes, paints or pigments instead of their lead containing analogues and using
toluene, cyclohexane or ketones instead of benzene.
This literature review mainly considered chemical methods by which the
substitution/modification of engineered nanomaterials can be made.
3.1 Mechanisms of nanoparticle toxicity in biological systems
In order to understand the possible options for substitution and modification of engineered
nanomaterials to reduce their potential hazard, it is important to consider the mechanisms
by which nanoparticles enter biological systems and subsequently cause toxicity. Thurn et
al. (2007) proposed different factors which affect nanoparticle uptake (see Figure 7):
Nanoparticle size: Smaller nanoparticles are taken up/internalised with greater efficiency
than larger particles of the same chemical composition (see Figure 7A). Also small
nanoparticles bypass degradation pathways better than larger particles (see Figure 7F).
Nanoparticle surface charge: Particle cellular membranes are generally negatively charged
and therefore positively charged particles are taken up preferentially into live cells (see
Figure 7B). Nanoparticle surfaces that are positively charged at the low pH found in
endosomes may undergo endosome escape.
Nanoparticle surface modification: There are receptor-mediated uptake mechanisms for
some nanomaterials, where certain ligands have been conjugated to the nanoparticle
surface. This is dependent on the expression of specific cell surface receptors and can
therefore be used to target specific cell types (see Figure 7C). Endosomes can be
bypassed and rapid uptake achieved by conjugating protein transduction domains onto the
surface of a nanomaterial (see Figure 7D). Also, oligodeoxynucleotide conjugation has
been found to aid specific subcellular localisation due to the presence of complementary
cellular deoxyribonucleic acid (DNA) sequences in organelles, such as the nucleus or
mitochondria (see Figure 7E).

25

Figure 7: Mechanisms of cell entry and uptake for engineered nanomaterials (Thurn
et al. 2007)
The evidence of these mechanisms for the uptake of engineered nanomaterials into cells
are summarised in Table F (Thurn et al. 2007). This information is key to understanding
why certain substitution/modification options are more effective than others and will be
highlighted throughout this review for specific processes.
In summary, the most critical characteristics that affect nanoparticle uptake by cells are the
particle size, surface charge or modification and the specific cell type involved. Studies
have indicated that changes in one (or more) of these parameters can cause major
differences in the efficiency and type of cellular uptake (Thurn et al. 2007).

26

Table F: Evidence for different cell uptake mechanisms derived from specific studies (adapted from Thurn et al. 2007)
Reference

Nanoparticle type

Cell type

Localisation

Uptake mechanism

Factors that
impact on
uptake

Kim et al. (2006)

Lai et al. (2007)

50 nm silica magnetic NP
24 and 43 nm polystyrene
100 nm PLGA

Endosomal
24 nm = perinuclear,
43 nm = lysosome
Membrane bound,
intracellular

RothenRutishauser et al.
(2006)

20 nm 1000 nm polystyrene
(+), (-) and uncharged; 25 nm
gold (+) and uncharged; 32 nm
TiO2
40 nm 4500nm polystyrene
particles
261 nm PVA-coated and 295
nm TPGS-coated PLGA
nanoparticles;
50 nm 1000 nm polystyrene
90-95 nm PLA/PEG-PLA
nanoparticles, (+) and (-)
charge
100 nm MSN uncoated;
with weak, moderate, and
strong (+) charge
78 nm 1000 nm polystyrene
Microsphere

Human RBC

Cytoplasm

CME
24 nm = CME independent,
43 nm = CME
Endocytosis of nanoparticles clathrin and caveolin
independent
Non-phagocytic uptake of NPs
200nm, irrespective of charge

NP size
NP size

Qaddoumi et al.
(2003)

A549 human lung cancer

HeLa (human cervical
epithelial carcinoma)
Primary rabbit conjunctival
epithelial cells

Human dendritic cells

Cytoplasm and
membrane bound
Cytoplasm and
nucleus

Not defined

NP size and
charge
NP size and
surface
modifications

HeLa human cervical

epithelial carcinoma

Both perinuclear

hMSC and 3T3-L1 mouse

adipose/fibroblast
cells
Porcine pulmonary
macrophages and human
RBC

Not defined

(+) NP = CME
(-) NP = Clathrin/caveolin
independent
hMSC: uncoated, weak, mod.
(+) = CME, strong (+)
unknown. 3T3-L1 = all CME
Macrophage:
1000nm = phagocytosis,
78 nm 200 nm = actinindependent;
RBC: all actin-independent

Foged et al.
(2005)
Win and Feng
(2005)
Harush-Frenkel et
al.
(2007)
Chung et
al.(2007)
Geiser et al.
(2005)

27

Caco-2 human colon

adenocarcinoma

Intracellular, not
membrane-bound

Not defined

NP size
NP size

NP charge
NP charge and,
Cell-specific
effects
Cell-specific
effect

Reference

Nanoparticle type

Cell type

Localisation

Uptake mechanism

Factors that
impact on
uptake

Zheng et al.
(2005)
Steinhauser et al.
(2006)
de la Fuente and
Berry (2005)

22 nm folic acid-LDL NP

KB (FR+) human
epidermoid carcinoma cells
BT-474 and SK-BR-3
human breast cancer cells
hTERT-BJ1 human
fibroblast

Cytoplasm, not
nuclear
Not defined

Receptor-mediated endocytosis
Receptor mediated endocytosis

Nucleus

Not defined

Surface
modifications
Surface
modifications
Surface
modifications

220 nm Trastuzumab-HSA NP
2.8 nm HIV-Tat peptideconjugated gold NP

CME = clathrin-mediated endocytosis, FR+ = folate receptor positive, HIV-Tat = human immunodeficiency virus- transactivator of transcription,
hMSC = human mesenchymal stem cell, HSA = human serum albumin, LDL = low density lipoprotein, MSN = mesoporous silica nanoparticle, NP = nanoparticle,
PEG-PLA = poly(ethylene glycol-co-lactide), PLA = DL-polylactide, PLGA = poly(D,L-lactic-co-glycolic acid), PVA = polyvinyl alcohol, RBC = red blood cell,
TPGS = d-alpha-tocopheryl polyethylene glycol 1000 succinate, (+) = positively charged, (-) = negatively charged.

28

3.1.1 Importance of nanoparticle size for cell uptake

Due to their small size, nanoparticles are easily taken up into cells, i.e. individual
nanoparticles by receptor-mediated endocytosis, and their larger aggregates via
phagocytosis and the receptor-independent endocytic pathway of macropinocytosis
(see Figure 8), whereupon the nanoparticles have essentially free access to all
cellular compartments (Xiang et al. 2006).
Receptor-mediated endocytic mechanisms involve receptors on the cell membrane
that capture particles or substances via binding to specific ligands. These include:

clathrin mediated-endocytosis, the classical and well-described mechanism

involving clathrin-coated pits in the membranes of most nucleated cells;

caveolin-mediated endocytosis, the clathrin-independent uptake mechanism via

flask-shaped cholesterol-rich invaginations of cell membranes;

caveolin- and clathrin-independent, yet lipid raft-associated endocytosis, which

is specific for the internalisation of certain cytokine receptors and proteins; and

phagocytosis performed predominantly by macrophages and Langerhans cells

(immature dendritic cells in the skin), which are antigen-presenting cells that act
as sentinels of the immune system. Langerhans cells, and stimulated
macrophages and endothelial cells, also perform the receptor-independent
uptake process of macropinocytosis (Xiang et al. 2006).

The individual endocytic pathways also have a defined specific size range of
engulfed particulate or soluble material (see Figure 8).

29

Figure 8: Mechanisms of uptake (endocytosis) of various sizes of particles by

the immune system, with nanoparticle sizes highlighted by the dashed box
(from Xiang et al. 2006).
Kim et al. (2006) synthesised biocompatible silica-overcoated magnetic
nanoparticles containing an organic fluorescence dye within a silica shell of 50 nm in
diameter and studied how this synthesised moiety was taken up by lung cancer cells.
This material type has potential applications in gene or drug delivery, biosensors and
bioimaging and detailed information on the cellular uptake processes for these
particles is essential. Lung cells were chosen for this study because inhalation is the
most likely route of exposure and lung cancer cells were found to uptake magnetic
particles rapidly in preliminary experiments. The lung cells were pre-treated with
different metabolic inhibitors. The researchers determined that low temperatures
disturbed the uptake of magnetic nanoparticles into cells and metabolic inhibitors
also prevented the delivery of materials into cells. Transmission electron microscopy
(TEM) was used to demonstrate that uptake of nanoparticles was mediated through
endosomes. The researchers demonstrated that magnetic nanoparticles can be
internalised into cells by an energy and size-dependent lysosomal and endosomal
mechanism (Kim et al. 2006).
The importance of nanoparticle size to specific cell uptake mechanisms was
exemplified in the study by Lai et al. (2007) who studied the internalisation of
polystyrene nanoparticles of 24 and 43 nm diameters by HeLa human cervical
epithelial carcinoma cells. Uptake of both nanoparticle sizes was found to be

30

temperature dependent and caveolin independent. The larger nanoparticles entered

cells through a degradative/clathrin dependent pathway that was not used by the
smaller nanoparticles, with the latter exhibiting perinuclear localisation and avoiding
endosomal/lysosomal entrapment. Therefore, the two particle sizes entered this cell
type by two different mechanisms based purely on size (Lai et al. 2007).
Qaddoumi et al. (2003) examined the expression of caveolin and clathrin in rabbit conjunctival
epithelial cells (RCEC) to determine whether they play a role in endocytosis of 100 nm
polylactic polyglycolic acid co-polymer (PLGA) nanoparticles. The effect of disrupting the
formation of clathrin-coated vesicles by using pharmacological treatments (intracellular K+
depletion and hypertonic challenge) and caveolae (filipin and nystatin) on apical uptake of
nanoparticles in primary cultured RCEC was investigated. The researchers concluded that
endocytosis of the biodegradeable nanoparticles in RCECs occurred independently of
caveolin and clathrin mediated pathways and that protein and gene expression of clathrin but
not caveolin was identified in RCEC (Qaddoumi et al. 2003).
Rothen-Rutishauser et al. (2006) combined different microscopic techniques to visualise the
uptake of fine particles and nanoparticles in red blood cells (RBCs). Fluorescent polystyrene
particles were analysed by laser scanning microscopy (LSM) combined with digital image
restoration. Gold particles were analysed by TEM and titanium dioxide particles were
analysed by energy filtering transmission electron microscopy (EFTEM). By using these
microscopic techniques the researchers were able to visualise and detect fine particles and
nanoparticles in red blood cells. The researchers found that only the particle size (less than
200 nm) but not surface charge influenced their uptake by RBCs.
Win and Feng (2005) studied the cellular uptake of polymeric nanoparticles and fine
particles by the Caco-2 human adenocarcinoma cell line using an in vitro model to
examine the potential use of biodegradable polymeric nanoparticles for oral
chemotherapy. Feasibility of this potential application was demonstrated by showing
quantification and localisation of cell uptake of 50nm 1000nm fluorescent
polystyrene particles, 261 nm PLGA particles coated with polyvinyl alcohol (PVA)
and 295 nm PLGA particles coated with a vitamin E derivative (tocopheryl
polyethylene glycol succinate, TPGS). The effects of particle surface coating and
particle size on the cellular uptake of the particles were quantified by
spectrofluorometric measurement. Cellular uptake of vitamin E TPGS-coated PLGA
particles was 1.4 folds higher than that of PVA-coated PLGA particles and 4-6 folds
higher than that of polystyrene particles, demonstrating that surface and size
modification of particles can modify cellular uptake (Win and Feng 2005).
3.1.2 Importance of surface charge for cell uptake
Cell membranes are usually negatively-charged and have a high affinity for
molecules that are positively-charged. Using confocal microscopy, Harush-Frenkel et
al. (2007) demonstrated that there was a higher uptake of fluorescent positivelycharged polyactide/polyethylene glycol-co-lactide co-polymer (PLA/PEG-PLA)
nanoparticles than negatively-charged nanoparticles of the same material in HeLa
cells. The authors also determined that the lower rate of uptake of the negativelycharged nanoparticles is via a caveolin and clathrin-independent mechanism whilst
the higher rate of uptake of positively charged particles is dependent on a clathrin
mechanism.

31

Surface charge also affects the interaction of nanomaterials with serum proteins
which may alter the nature of the particles surface that is presented to the cell
membrane prior to uptake, but can also ultimately influence their clearance from the
body. Recent studies involving intravenously-administered quantum dots (QDs) in
rodents have indicated some nanoparticle requirements for rapid renal filtration and
urinary excretion, i.e. Zwitterionic or neutral organic coatings of QDs prevented
adsorption of serum proteins that would otherwise increase the QD hydrodynamic
diameter by >15 nm and prevent renal excretion. Those QDs with a final
hydrodynamic diameter <5.5 nm exhibited rapid and efficient urinary excretion and
elimination from the body (Choi et al. 2007). Such findings show that the
hydrodynamic size of a positively charged nanoparticle within a biological system
may be much larger than the size of a pristine nanoparticle, due to proteinnanoparticle interactions. This would result in significantly slower renal clearance
resulting in blood half-life values of hours rather than minutes, with major implications
for the toxicokinetics of such nanoparticles that reach the circulatory system (Choi et
al. 2007).
3.1.3 Importance of cell specific effects for nanoparticle uptake
Overall, when employing the weight of evidence approach concerning cell-specific
effects of nanomaterials, a greater weight should be placed on data derived from in
vivo rather than in vitro studies. In regard to in vitro studies, the best evidence will
come from studies using human primary cells whereas a lower level of evidence is
provided by studies using immortalised/tumour cell lines and animal cells. The
premise is that the closer a study mimics a human system the more useful is the
data that it provides.
Different mechanisms and rates of uptake are exhibited by different cell types for the
same nanomaterial. For example, when Chung et al. (2007) exposed mouse
adipose/fibroblast 3T3-L1 and human mesenchymal stem cells (hMSC) to silica
mesoporous nanoparticles with strong positive surface charges, it was found that the
uptake mechanisms were cell type specific. The 3T3-L1 cells were found to utilise
clathrin-mediated endocytosis to take up the nanoparticles, whereas hMSC cells
used an undefined alternate mechanism. When the silica mesoporous nanoparticles
were uncoated, or had weak or moderate positive charges, the uptake for both celltypes was by clathrin-mediated endocytosis.
Geiser et al. (2005) performed an in vitro study of the uptake of fine (200 -1000 nm)
and ultra fine particles (UFP) (<100 nm) by human red blood cells (RBCs) and
porcine pulmonary macrophages. Using confocal laser scanning microscopy it was
found that 77% of macrophages contained UFPs and 56% contained fine particles.
However it was also found that only 40% of RBCs contained UFPs and none
contained no fine particles. This further demonstrates that particle uptake is cellspecific.

32

3.1.4 Importance of surface modification for nanoparticle uptake

There have been several investigations aimed at increasing the efficacy of uptake of
potentially therapeutic nanoparticles in to target cell types, in order to bypass
intracellular obstacles such as endosomes. The general strategy has been to
conjugate molecules to the surface of nanoparticles in order to target their affinity
for specific cell types and subcellular organelles. Short amphipathic peptides are one
type of conjugate that enables nanoparticles to translocate rapidly across cell
membranes (de la Fuente and Berry 2005; Koch et al. 2003; Gupta et al. 2005; Vives
et al. 1997). The exact mechanism by which translocation occurs across the cell
membrane is still a matter of scientific investigation. However, it is known to occur
rapidly and efficiently.
An example of the peptide conjugation technique has been reported for 2.8 nm gold
nanoparticles that were conjugated with a cell-penetrating peptide, i.e. the human
immunodeficiency virus transactivator of transcription (HIV-Tat) peptide fragment.
Transmission electron microscopy (TEM) showed that they had translocated across the cell
membrane and were sufficiently small (<30 nm) to pass through nuclear membrane pores to
become localised within the nucleus of immortalised human fibroblast cells. In contrast gold
nanoparticles that lacked the Tat peptide were found in cytoplasmic vacuoles or surrounding
the mitochondria, but not in the nucleus (de la Fuente and Berry 2005). However, Tkachenko
et al. (2003) conjugated 20 nm gold nanoparticles to HIV-Tat peptide. These were found to
have localised in the cytoplasm rather than the nucleus. This indicates that even when the
nanomaterial is conjugated with an organelle targeting peptide, its size is an important factor
affecting the type of cellular uptake involved. It should be noted that nanoparticles <100 nm
may also cross the nuclear membrane via receptor-mediated endocytosis. These researchers
later reported that these Tat-conjugated gold nanoparticles also did not target the nucleus of
3T3/NIH murine fibroblastoma cells or HepG2 human hepatocarcinoma cells, but that
conjugation with the adenovirus nuclear localisation signal or the integrin binding domain was
successful in triggering nuclear uptake (Tkachenko et al. 2004).
In another study which demonstrated the time-dependent nature of nanoparticle
localisation within specific organelles, iron oxide nanoparticles labelled with the red
fluorophore Cy3.5 and conjugated to a green fluorophore (fluorescein isothiocyanate,
FITC)-Tat peptide were incubated with HeLa cells. The flow cytometry study
indicated that the nanoparticles were rapidly internalised into the HeLa cells.
Confocal microscopy 24 hours post-treatment showed co-localisation of Cy3.5 and
FITC in the cytoplasm and the nucleus, which was lost after 72 hours (Koch et al.
2003).
Other researchers have taken the different approach of conjugating monoclonal
antibodies or receptor ligands to the surface of nanoparticles in order to specifically
target tumour cells that over-express certain cell surface receptors. Steinhauser et al.
(2006) were able to selectively target only those aggressive breast cancer cells that
over-expressed human epidermal growth factor receptor type 2 (Her2) using
nanoparticles conjugated with Trastuzumab, a specific antibody directed against
Her2. A similar approach has used nanoparticles conjugated with folate in order to
target the folate receptor on over-expressing nasopharyngeal and prostate cancer
cells (Zheng et al. 2005; Hattori and Maitani 2005; Dixit et al. 2006). Furthermore, if
nuclear or mitochondrial oligodeoxynucleotides are conjugated to a nanoparticle,
then there is a marked increase in either the nuclear or mitochondrial subcellular
33

localisation within a targeted cell following the binding of the conjugated nanoparticle
to complementary DNA sequences at these sites (Paunesku et al. 2003, 2007; Qin
and Yung 2006).
3.1.5 Biocompatibility and surface coatings
When undertaking surface modification to change the efficiency and uptake of an
engineered nanomaterial there is also the consideration of biocompatibility, which is
important in negating or reducing potential toxic effects (Wang et al. 2004).
Biocompatibility has been defined as the property of being biologically compatible by
not producing a toxic, injurious, or immunological response in living tissue. A major
goal in substituting or modifying an engineered nanomaterial should be to make it
biocompatible. Therefore, any surface coating used with a nanomaterial should
confer this property.
An example of the application of the biocompatible principle is case of synthetic
parts (e.g. prostheses, artificial organs, contact lenses, artificial limbs, biosensors or
encapsulating membranes), which are now being used as replacements for
defective parts in human hosts (Mathieu 2001; Sabbatini and Zambonin 1996; Good
1993; Aleyamma and Sharma 1991; Makohliso 1999; Wang and Ruckenstein 1993).
The structural materials used in these replacement parts are usually in themselves
bio-incompatible. However, in order for them to be accepted in their host they need
to be made compatible. This has been done in many cases by grafting a
biocompatible surface material onto the replacement part, which has the effect of
preventing protein absorption and reduces or negates toxic effects of the bioincompatible material (Marieb 1998). Such biocompatible materials include
hydroxyapatite, chitosan, chitin coating, peptides, polysaccharides and other
polymeric materials.
There are a number of factors which determine the interaction of cells and
biomaterials. These include surface energy; the balance between surface
hydrophilicity and hydrophobicity; chemical structure and functional groups; type and
the density of surface charges; molecular weight and conformational flexibility of the
polymer; and surface topography and roughness (Wang et al. 2004). There has
been much time and effort invested in the health care industry to develop and
improve materials that are suitably biocompatible with the living environment
(Aleyamma and Sharma 1991). Synthetic polymers are a broad range of materials
that can easily be utilised as surface coatings. However, the issue of non-specific
protein adsorption needs to be addressed to prevent inflammation in order that these
materials can successfully become biocompatible. Therefore, research is directed
towards polymers which have minimal protein adsorption by using strategies that
mimic the external cell membrane or use biologically active materials such as
proteins, peptides or polysaccharides. This type of procedure has the advantage of
functionalising the surface of the material without modifying its bulk properties.
Immobilisation of biomolecules on the surface of materials may be achieved by
several mechanisms including covalent binding or physical adsorption (Mathieu
2001).

34

4 Substitution/modification options for specific engineered

nanomaterials
This section addresses specific classes of engineered nanomaterials with particular
reference to their background, toxicology and potential substitution/modification
options to reduce workplace hazards.
4.1 Carbon nanotubes
4.1.1 Background
Carbon nanotubes (CNTs) are cylindrical macromolecules, which have a radius of
only a few nanometres and can be grown up to 20 cm in length (Balasubramanian
and Burghard 2005). The walls of the lattices are made up of carbon atoms arranged
in a hexagonal lattice similar to the atomic planes of graphite. The cylinders are
usually capped at the ends by a fullerene-type molecule. There are two major types
recognised, i.e. single-walled carbon nanotubes (SWCNTs) and multi-walled carbon
nanotubes (MWCNTs) (See Figures 9 and 10).

Figure 9: A rolled up graphene sheet

showing three different forms of a
SWCNT (from Balasubramanian and
Burghard 2005)

Figure 10: Three shells of

chirality of a MWCNT (from
Balasubramanian and
Burghard 2005)

SWCNTs are composed of a single rolled up graphene sheet and have a diameter of
0.4 to 3 nm (see Figure 9). MWCNTs are composed of a concentric arrangement of
many cylinders and have a diameter up to 100 nm (see Figure 10). The structure of a
CNT can be specified based on the orientation of the tube axis with respect to the
hexagonal lattice through specification of its chiral vector using indices (n,m).
Classifications are described as armchair when n=m ((8,8) in Figure 9) and zigzag

35

when m=0 ((14,0) in Figure 9). There are three methods that have been established
for the production of SWCNTs and MWCNTs. See Table G for details of these.
Table G: Overview of the important synthesis procedures for CNTs
(Adapted from Table 1 of Balasubramanian and Burghard 2005)
Synthetic
method

Reaction principle

Average
diameter of the
tubes

Maximum
production
rate

Electric arc
discharge

Carbon atoms are generated

through an electric arc discharge
at T>3000C between two
graphite rods. Nanotubes are
formed in the presence of suitable
catalyst metal particles (Fe, Co,
or Ni).

1.31.4 nm

120 g per day

Laser ablation

Generation of atomic carbon at

T>3000C through laser
irradiation of graphite, which
contains appropriate catalyst
particles (Fe, Co, or Ni), is
followed by formation of
nanotubes.

1.4 nm

50 g per day

Catalytic
decomposition
of gaseous
hydrocarbons

Decomposition of a gaseous
hydrocarbon source (e.g. an
alkane or CO) is catalysed by
metal nanoparticles (Co or Fe).
Particles are prepared by
pyrolysis of suitable precursors
(e.g. [Fe(CO)5]) at 10001100C
under high pressure.

1 nm

50 kg per day

For each of the three production methods, there are issues with the purity of the CNTs, with
there being impurities such as metals (e.g. Fe or Co), fullerenes or amorphous carbon.
Consequently, purification of CNTs is required prior to further processing (Balasubramanian
and Burghard 2005) and typically involves the following steps:
a) thermal oxidation step in air
b) acid reflux step (using HCl)
c) filtration, and
d) thermal annealing.
The synthesis of large quantities of CNTs usually results in bundles of hundreds of CNTs
being produced. These bundles can easily be dispersed by ultrasonic treatment in aqueous
surfactant solution, which leads to individual CNTs being enclosed in a detergent shell
(Balasubramanian and Burghard 2005). An alternative method of preparing relatively pure
isolated CNTs is by vapour deposition onto a solid support (see Figure 11).

36

Figure 11: Chemical vapour deposition used for the synthesis of individual CNTs by
surface deposited catalyst particles (adapted from Balasubramanian and Burghard
2005)
CNTs have attracted much interest because their specific strength, lightness, electrical and
related properties may potentially be exploited in new products e.g. coloured textiles,
conductors, semiconductors, composites etc. Like fullerenes and quantum dots, these are a
new class of compound which are attractive because of their potential commercial
applications.
4.1.2 Toxicology of carbon nanotubes
There is now a growing body of information about the potential hazards of CNTs. Further
data is needed and it is noted that there are a number of difficulties associated with toxicity
testing for CNTs, which include:
a) fibre agglomeration and difficulty involved in isolating single fibres
b) ensuring CNTs come into contact with cells for in vitro tests
c) difficulties involved in using standard toxicity tests, e.g. inhalation exposure studies in rats
and mice failing because fibres did not get to the pleural cavity in the lungs, due to
difficulties in aerosolising the CNTs
d) problems of interpretation of test data, e.g. when in vivo intratracheal instillation is used,
excessive loads of CNTs can easily be deposited, which can lead to artificial biopersistence
in the lung and questionable results (Drew 2009).
Lam et al. (2006) in a review of the available literature on CNT toxicity concluded that the
results of rodent studies collectively showed that regardless of the process by which CNTs
were synthesised and the types of metal impurities that they contained, CNTs were capable
of producing inflammation, epithelioid granulomas, fibrosis and biochemical/toxicological
changes in the lung. They also indicated that SWCNTs were more toxic than quartz, a
known chronic workplace inhalation hazard, and carbon black which exhibited minimal lung
responses in comparative toxicological inhalation studies in mice. Lam et al. (2006) stated
that SWCNTs present in the lungs of mice produce respiratory impairment, damage DNA in
the aorta, increase aortic plaques, induce atherosclerotic lesions in arteries of the heart and
retard bacterial clearance.
There are two important in vivo studies that both studied the carcinogenic and fibrogenic
behaviour of MWCNTs in the intraperitoneal cavity of mice (Poland et al. 2008, Takagi et al.
2008). Whilst there were experimental difficulties with both studies, it was clearly shown by
Poland et al. (2008) that inflammatory and granuloma responses were associated with long
37

straight CNT fibres, having a structural aspect ratio similar to long fibre asbestos (Drew
2009). Curled-tangled CNT fibres did not cause the same effects and are considered to be
less pathogenic than long straight CNTs (Poland et al. 2008).
Donaldson et al. (2009) in a study of the hazards poised by high aspect ratio biopersisitent
nanoparticle fibres indicated that long fibre CNTs have a high potential to be retained in the
pleural membrane and to cause diseases such as mesothelioma. They made the following
conclusions:
a) CNTs have the length, thinness and biopersistence associated with pathogenic fibres.
b) CNTs can also be short and tangled in which case they do not pose a fibre hazard but
may pose a particle hazard.
c) A proportion of CNTs that are respirable and deposit in the distal airspaces are likely to
transit through the pleura.
d) Short CNT fibres (<5 m) will transit through the parietal pleural stomata. However, long
CNT fibres (> 15 m) can reach the pleura and be retained where they can cause
genotoxicity and inflammation.
e) Unmodified CNTs may be classified as durable and biopersisitent. However, if they are
defective, derivatised or otherwise weakened they may undergo some form of breakdown
and be less biopersisitent.
The potential mesothelioma hazard from CNTs was examined in detail by Drew (2009). For
MWCNTs, weight of evidence suggests that:

long thin MWCNTs (i.e. of pathogenic fibre dimensions) present a mesothelioma hazard
to workers if they are inhaled, and if sufficient numbers are in contact with mesothelial
tissue

MWCNTs that are not of pathogenic fibre dimensions do not have this hazard.

To date, there are no data on the potential of SWCNTs or functionalised CNTs to cause
pathogenic fibre-like responses, but there is no evidence that responses would be different
to MWCNTs.
Thus, as a precautionary default, Drew (2009) recommended that:

all biopersistent CNTs, or aggregates of CNTs, of pathogenic fibre dimensions could be

considered as presenting a potential fibrogenic and mesothelioma hazard, and

manufacturing and handling procedures need to minimise workplace exposure to all

respirable CNTs that physically resemble known fibrogenic materials.

4.1.3 Potential substitution/modification of carbon nanotubes

To make CNTs less toxic there are a number of substitutions/modifications that are possible.
The information in Section 4.1.2 clearly indicates that short CNTs should be used wherever
possible, and the length should be kept less than 5m if possible.
In regard to chemical modification, the two most prominent methods are functional group
addition and surface modification by compositing with another material. Both methods can

38

potentially lead to decreased toxicity by increasing the hydrophilic character and therefore
biocompatibility of the manufactured CNTs (Balasubramanian and Burghard 2005).
However, such modifications may impact on other properties, e.g. mechanical and electrical
properties (Chattopadhyay et al. 2008). Chemical modification is examined in detail in the
following sections.
4.1.3.1 Addition reactions of carbon nanotubes
Carbon nanotubes possess high chemical and mechanical stability, which is a useful
application property, but it does not allow for easy and controlled functional group addition
(Balasubramanian and Burghard 2005). However, there are several known reactions
presented in Table H below which give functional additions and increase the hydrophilic
character of the CNT moiety. The main concern is the low conversion/functionalisation rate
for these reactions due to the unreactive nature of CNTs. Other potential conversions are
presented in Figure 12. Overall, more addition reactions are known for SWCNTs than for
MWCNTs (Balasubramanian and Burghard 2005).

Figure 12: Potential addition reactions that can be used to functionalise nanotube
sidewalls (from Balasubramanian and Burghard 2005).

39

Table H: Known addition reactions for CNTs (summarised from Balasubramanian and Burghard 2005).

40

Type of
CNT

Modification

Product

Reagents/Process

SWCNTs

Carboxylation

Carboxyl SWCNT
(5-10%
conversion)

a) Nitric and sulfuric

acids/ultrasonification
b) Heat

CarboxylSWCNTs

Anhydride
formation

Acid treatment

Nitrogen
doped
MWCNTs
SWCNTs

a) Carboxylation
b) Amidization

SWCNT
anhydride
(1-5%
conversion)
MWCNT ferritin
or BSA amide

Fluorination

Fluorinated
SWCNTs
(10-20%
conversion)

Amine groups of ferritin

or Bovine Serum
Albumin (BSA),
Solid SWCNTs with
fluorine gas in a Monel
flow reactor

Conditions/Comments
a) End tubes open and holes form in
side walls followed by oxidative
etching of sidewalls
b) SWCNTs produced are100-300
nm in length with sidewalls
containing carboxyl groups
c) Further reactions of amide and
ester formation possible
d) Reaction occurs at wall defects
a) Ring closure reaction is possible
b) A mixture of products can be
obtained
c) Reaction occurs at wall defects
a) Reaction is a covalent binding of
protein to MWCNT
b) Reaction occurs at wall defects
a) SWCNTs used can be either from
laser ablation method or from the
high pressure carbon monoxide
(HIPCO) process
b) Helium gas is required for dilution
at elevated temperatures
c) Increased fluorination is observed
at higher temperatures

References
Zhang et al. 2003

Sano et al. 2001

Katz and Willner 2004

Bettinger 2003

4.1.3.2 Surface modification of carbon nanotubes

Studies of the effects of surface modifications on the cytotoxic potential of CNTs have
been extensively reviewed by Lewinski et al. (2008). Covalent modification of MWCNTs by
polymeric material has been used to significantly increase both polarity and hydrophilicity
of the final product. For example, Ge et al. (2005) used a grafted polyetherimide (BisADADCB) to surface modify carboxyl-functionalised MWCNTs (see Figure 13). Both these
modifications significantly increase both polarity and hydrophilicity of the moiety produced.

Figure 13: Schematic view of carboxyl functionalised MWCNTs and the process of
their attachment to an aromatic polyamide (from Ge et al. 2005)
Ke et al. (2007) reported the covalent modification of MWCNTs with a low molecular
weight chitosan (LMCS) using a nucleophilic substitution reaction. A summary of the
synthetic method is provided by Figure 14 and images of the product in Figure 15. The
resulting grafted MWCNT was fully characterised by a series of methods including infrared
(IR), X-ray photo electron spectroscopy (XPS) and 13C nuclear magnetic resonance
(NMR). Ke et al. (2007) calculated that for every 1000 carbon atoms in the nanotube there
were be four molecular chains of chitosan (Ke et al. 2007).

Figure 14: Process of functionalisation and surface grafting of MWCNTs with low
molecular weight chitosan (from Ke et al. 2007)

41

Figure 15: TEM images of a) raw MWCNTs, b) cut and purified MWCNTs and c)
chitosan grafted MWCNTs. Arrows on c) indicate position of polymer
addition/modification (from Ke et al. 2007).
Dutta et al. (2007) investigated the toxicity of SWCNTs with and without a polymer coating.
The results indicated that precoating SWCNTs with a non-ionic surfactant (e.g. Pluronic
F127), inhibited albumin absorption and anti inflammatory response. Dutta et al. (2007)
suggested that the uptake of proteins (e.g. albumin) can be significantly reduced by a
coating present on the surface of CNTs.
Sayes et al. (2006a) demonstrated that the in vitro cytotoxic response of human dermal
fibroblast cells was dependent on the degree of functionalisation of SWCNTs. These
researchers showed that as the degree of sidewall functionalisation of SWCNTs increased
with the addition of phenyl-(COOH)2 or phenyl-SO3H moieties, the SWCNT sample
became less cytotoxic. This sidewall functionalisation was also substantially less cytotoxic
than surfactant-stabilised SWCNTs (Sayes et al. 2006a).
4.1.4 Impact of modification on potential exposure levels
Johnson et al. (2010) examined emission levels of various types of carbon nanoparticles in
laboratory activities. Both raw MWCNTs and MWCNTs modified with OH groups
(MWCNT-OH) were examined.
A. Weighing MWCNTs and transferring to mixing beaker inside a hood with the ventilation
switched off.

Emissions were higher for raw MWCNTs than for MWCNT-OH.

B. Sonication of MWCNTs in reconstituted water containing 100mg/l natural organic

matter.

For particles in the size range 10 -1000nm (measured by condensation particle

counter, CPC) emissions of raw MWCNTs were higher.

For particle size above 300nm (measured by hand held particle counter, HHPC),
emissions of MWCNT-OH were higher.

4.1.5 Conclusions
CNTs can be functionalised and surface-modified in order to increase their solubility and
biocompatibility. However, such modifications may impact on other properties (e.g.
mechanical properties). Further investigation of the toxicity of these modified CNTs needs

42

to be made to assess the extent of the reduction in potential workplace hazard. The size
control of CNTs is also important to control toxicity. Their chronic toxicity potential can be
reduced by using short CNTs and keeping their length to less than 5m.
However, these modifications may be incompatible with the intended use, for example, in
polymer or metal nanocomposites.
4.2 Fullerenes

4.2.1 Background
The carbon allotrope C60, usually referred to as a buckyball, was discovered in 1985 by
Smalley, Kroto and Curl from Sussex University and Rice University. A buckyball
resembles a European championship soccer ball in shape and was named
Buckminsterfullerene (see Figure 16). The molecule is geometrically shaped as a
truncated dodecahedron with a carbon atom sitting at each corner of the polyhedron
(Sayes et al. 2004). Fullerenes are currently being investigated for their potential medical
applications.

Figure 16: C60 Buckyball (Sayes et al. 2004)

4.2.1.1 Methods of fullerene manufacture
There are two main methods for the manufacture of fullerenes (Grushko et al. 2007). The
first involves the vaporisation of carbon fragments into an inert atmosphere in which they
combine and deposit to form fullerenes and other carbon-based compounds, including
CNTs. The second group of methods involve the production of fullerene-containing soot
deposits through chemical vapour deposition (CVD) with chemical vapour being formed by
reacting aliphatic or aromatic compounds in an oxidising environment. Fullerenes were
first deliberately produced by the laser ablation method in a similar procedure to that
employed for CNTs. However, the CVD method is now very popular because larger
quantities can more easily be produced using this method.

43

4.2.2 Toxicology of fullerenes

In a recent detailed review, Drew (2009) provided a good summary of the toxicology of
fullerenes, concluding that they are toxic but less hazardous than other nanomaterials for
four reasons:

fullerenes were less efficient in producing reactive nitrogen and oxygen species

for sub-acute inhalation in rats during pulmonary toxicity studies, exposure to

moderate concentrations led to low toxicity

fullerenes did not alter the immunological function of macrophages

in vitro cytotoxicity decreases with increasing solubility.

Sayes et al. (2004) showed that the in vitro cytotoxic concentration of fullerenes changed
over seven orders of magnitude with minor modifications of the fullerene that progressively
increased their solubility and reduced their toxicity. The C60 parent unsubstituted fullerene
exhibited the highest toxicity whereas more functionalised (and polar) derivatives showed
decreased toxicity, see Figure 17.

Figure 17: Differences in the structure and cytotoxicity of nano-C60 as compared to

C3, Na+2-3[C60O7-9(OH)12-15](2-3)- , and C60(OH)24 (fullerol) in human dermal fibroblasts.
Cells were exposed to toxicant for 48 h (adapted from Sayes et al. (2004)).
It should be noted that while fullerol is less cytotoxic than C60 in the in vitro fibroblast
test system, other researchers have since found that the ability of fullerol to disperse in
an aqueous system may have potential environmental implications. As fullerol does not
form the tightly-packed aggregates seen with C60 in aqueous media, it is more able to
promote the formation of reactive oxygen species (i.e. singlet oxygen) following

44

ultraviolet irradiation, which can lead to the degradation of susceptible organic

molecules (Chae et al. 2009).
4.2.3 Potential substitution/modification of fullerenes
In a review of the chemistry of fullerenes, Taylor and Walton (1993) noted that these
compounds were thought to be unreactive when they were initially discovered, however
later work found a wide range of possible reactions (see Figure 18). Specifically there
would appear to be a range of potential opportunities to add functional groups to the
fullerene moiety in order to increase its water solubility. There are several methods by
which hydroxyl groups can be substituted onto fullerenes, the most usual method involves
reaction with a mixture of nitric and sulfuric acid followed by a basic sample work up. The
reaction mechanism is thought to be nucleophilic substitution by a nitronium ion. Another
method is that of reaction with nitronium borofluoride and a carboxylic acid followed by
basic hydrolysis of the nitro-organocarboxylated fullerene intermediate (Schneider et al.
1994).
4.2.4 Conclusions
It can be concluded that when formulating a new product or use the toxicity of
fullerenes can be controlled by attaching functional groups to the fullerene moiety.
Specifically, attaching water solubilising groups such as carboxyl or alcohol groups will
increase the solubility and lead to reduced toxicity of the prepared fullerene. This
modification will also alter particle aggregation behaviour in water and its potential
bioavailability and reactivity in aquatic systems, and this area requires further
investigation.

Figure 18: Some generalised reactions of C60 fullerenes (adapted from Taylor and
Walton (1993)).

45

4.3 Nano titanium dioxide (TiO2)

4.3.1 Background
Unlike CNTs and fullerenes which are synthesised, titanium dioxide (TiO2, titania) is a
naturally occurring material which is normally produced from ores such as ilmenite or
leucoxene. There are several different crystalline forms of the same material, of which the
best known are rutile (the most common), brookite and anatase. Both brookite and
anatase convert to rutile on heating. There are also three well-known high pressure forms:
the orthorhombic -PbO2 like form; a monoclinic baddeleyite-like form; and, a cotunnitelike form. Titanium dioxide has been used for a range of applications for several years,
e.g. sunscreens, food-colouring and waste water remediation (Cotton and Wilkinson
1999).
Major problems with the use of titanium dioxide have been the purity of the material and
the optimisation of its properties for its applications, e.g. optimisation of ultraviolet (UV)
light absorbing ability. The development of nano forms of TiO2 has become important as a
method of optimising such properties, e.g. there is an increased UV-absorbing ability with
the increased surface area of nano TiO2 compared to bulk TiO2 (Cotton and Wilkinson
1999).
Nano TiO2 may be synthesised by a number of routes including the solvothermal process
in which the precursor solution is usually non-aqueous rather than the aqueous solutions
used for the production of bulk TiO2. The reaction is carried out in a stainless steel
autoclave, and experimental conditions/parameters such as reaction type, solvent type,
temperature and surfactant type can be manipulated so that properties of TiO2 such as
shape, size, size distribution, crystallinity and shape distribution can easily be controlled
(Cotton and Wilkinson 1999).
4.3.2 Toxicology of nano titanium dioxide
In a general review of the toxicology of engineered nanomaterials, including nano TiO2, it
was concluded by Drew (2009) that:
a) Titanium dioxide (TiO2) is regarded as a poorly soluble particle exhibiting low toxicity.
b) If experimental animals are exposed to high concentrations of TiO2 through inhalation,
then they may become impaired of normal alveolar clearance mechanisms in the lung.
This may result in particle build up leading to excessive lung burdens resulting in chronic
alveolar inflammation.
c) The International Agency for Research on Cancer (IARC) has classified TiO2 as a
Group 2B carcinogen possibly carcinogenic to humans. The most important data for this
classification was that from lung tumours in rats after high chronic exposures that would
have caused the particle overload phenomenon, whereas mice and hamsters did not
develop tumours. IARC considered the biological mechanisms occurring in the rat were
still relevant to workers in situations of high exposures. However, with the mode of action
involving a sustained inflammation, this implies that there is a threshold dose below which
exposures will not be harmful. Some acute and intratracheal inhalation studies did not give
the expected results of increased pulmonary toxicity due to aggregation and
agglomeration of TiO2.

46

d) Dermal absorption studies for nano TiO2 conclude consistently that TiO2 is not absorbed
through the skin.
e) Intravenous and oral toxicity studies have been used to investigate the systemic
distribution of TiO2. The oral studies indicated that nano TiO2 is absorbed from the
gastrointestinal tract and is distributed throughout the body. Intravenous and oral studies
resulted in TiO2 retention in the lung, kidney, liver and spleen but not in the lymph nodes,
brain, plasma or blood cells.
f) There is sufficient data to indicate that anatase nano TiO2 is more toxic/phototoxic than
the rutile nano material. However, both forms can induce a pulmonary inflammation
response if the concentration of exposure is high enough, with evidence for this being
provided by rat inhalation studies.
g) A variety of traditional hazard/safety tests using nano-TiO2 have shown the material to
be of low acute toxicity.
Relating to concerns about potential toxicity from the use of nano-TiO2 in sunscreens,
Barker and Branch (2008) reported on the increased incidence of unsightly appearance
defects of building materials due to nanoparticle-containing sunscreens. These defects
were on recently installed prepainted steel roofs and other durable surface coatings, and
were due to the aggressive activity of photocatalytic grades of nano TiO2 (especially
anatase) in sunscreens that had been transferred to the building materials during
construction handling. The photocatalytic particles had accelerated the weathering of the
steel surface by >100 fold. However, the relevance of these findings to human sunscreen
usage depends on long-term persistence of insoluble nano TiO2 on the skin following
sunscreen application, which is unlikely due to the constant shedding of dead skin cells.
4.3.3 Potential substitution/modification of nano titanium dioxide
Sayes et al. (2006b) characterised the in vitro cytotoxicity of nanoscale anatase and rutile
forms of TiO2 under ambient light conditions in cell culture. The authors found that
cytotoxicity and pro-inflammatory responses were observed for anatase only, and only at
relatively high concentrations (100 g/ml) and these were found to increase with dose and
the time of exposure. The phase composition of the crystalline structure, namely the
anatase or rutile form, was an important factor with anatase being up to 100 times more
cytotoxic than the rutile form (see Table I). The most cytotoxic form of nano TiO2 was
found to be the most efficient at generating reactive oxygen species (ROS) in cell cultures.
These results are important because they indicate that different crystalline forms of the
same nanomaterial can exhibit dissimilar toxicological properties (Sayes et al. 2006b).

47

Table I: Summary of results for correlating nanoscale TiO2 structure with toxicity in
cells (Adapted from Table 3 of Sayes et al. 2006b)
Particle
sample

Photoactive

Nano-TiO2
Anatase
particles

Yes.
Yes
Up to 100 times
greater than
rutile.

Nano-TiO2 rutile Yes.

particles
Much less than
anatase.

Generates
ROS

No

Produces
cytotoxic
response
(LC50)
1500 g/ml

Induces
membrane
leakage

Decreases
mitochondrial
activity

Produces
pro-inflammatory
response

1500 g/ml
(w/o light)
30 g/ml
(w/light)

1500 g/ml

300 g/ml

N/A

N/A

N/A

N/A

N/A= not applicable - does not generate ROS (reactive oxygen species)
w/o= without
w/ = with

The results of Sayes et al. (2006b) experimentally validated other findings for the nano
TiO2 anatase and rutile phases. Selloni et al. (1998) and Vittadini et al. (1998) both
showed that anatase and rutile particles differ significantly in their surface chemistry,
specifically in relation to generating ROS. First principle calculations by these authors
indicated that water molecules dissociatively absorb onto anatase surfaces, but not
onto rutile surfaces. When water absorbed on to an anatase surface is illuminated with
UV light, reactive photocarriers are trapped on the surface and come into contact with
Ti-OH species, which then react to form hydroxyl radicals that are the primary oxidising
species in oxidative photocatalytic processes. These findings are supported by the
study of Jiang et al. (2008a), which demonstrated the oxidant generating capacity for
different crystal phases of TiO2 nanoparticles was highest for amorphous, followed by
anatase, and then anatase/rutile mixtures, and lowest for rutile samples.
The paint industry has developed many methods for coating macroscopic TiO2 in order
to decrease its photoactivity. However, these are generally not compatible for use with
nanoparticulate TiO2. At this stage there are relatively few methods to introduce robust
surface coatings onto nano TiO2.
4.3.4 Conclusions
It can be concluded that when formulating a new nano TiO2 product or use, its potential
toxicity can be controlled by varying the crystalline form used. For example, the UVphotocatalytic activity of nano TiO2 can be reduced by partial or full replacement of the
anatase form with the less reactive rutile form, especially in sunscreen applications and
personal care products. In applications involving the use of an industrial-grade
photocatalyst, such as the coatings on self-cleaning glass surfaces, then the potential for
shedding of anatase nanoparticles into the environment needs to be assessed and
minimised to reduce environmental impact.

48

4.4 Nano cerium dioxide (CeO2)

4.4.1 Background
The rare-earth oxide cerium dioxide (CeO2, ceria) has a unique set of properties that make
it very attractive in a number of applications, and which are generally enhanced in the
nano form. These properties include oxygen storage capacity, oxygen ion conductivity and
high mechanical strength. Consequently nano ceria has been utilised for biomedical
applications, chemical-mechanical polishing, high temperature resistant coatings, oxygen
gas sensors, the electrolyte in solid oxide fuel cells and as a catalyst support for car
engines (Morgenson et al. 2000; Das et al. 2007; Kuchibhatla et al. 2007 and Thanneeru
et al. 2007). Nano ceria has been synthesised in various material structural types, such as
spheres, rods and cubes, by a number of techniques including microemulsion,
electrochemical, spray pyrolysis, precipitation and hydrothermal methods, in which the
structural, size and surface properties of nanoparticles can all be well-controlled
(Thanneeru et al. 2007; Sun et al. 2005 and Yang et al. 2007).
The important physico-chemical properties that make nano ceria attractive for these
different applications are the high mobility of oxygen vacancies within the crystalline
structure and the low relative redox potential between the 3+ and 4+ cerium oxidation
states (Masui et al. 2000). When the particle size of ceria is reduced, both the Ce3+
concentration and the lattice constant increase (Tsunekawa et al. 2000). In order that
charge neutrality is maintained within the nano lattice, oxygen vacancies are created,
allowing oxygen diffusion to increase, thereby enhancing the relative ease by which the
material both absorbs and releases oxygen. Both Ce3+ concentration and oxygen
vacancies are important in fine tuning the catalytic activity required for energy and
biomedical applications (Babu et al. 2009).
4.4.2 Toxicology of nano cerium dioxide
Schubert et al. (2006) have shown that pretreatment with nano ceria particles (6, 12 and
1000 nm) protect HT22 mouse hippocampal nerve cells from oxidative stress and that this
protection is independent of ceria particle size. Nano ceria was found to behave as an
antioxidant and limits the oxidative stress that cells have to endure. The authors
postulated that nano ceria can be used to modulate oxidative stress in biological systems.
In another study, Chen et al. (2006) showed that nano ceria particles (~5 nm) inhibited
the production of reactive oxygen intermediates (ROI) in primary cultures of rat retina
cells co-exposed to H2O2. The nano ceria also protected against loss of vision due to
light-induced degeneration of retinal photoreceptor cells, in rats that had been injected
in the eye (intravitreal) with nanoparticles. These researchers proposed that nano ceria
is a very effective free radical scavenger via the regenerative properties of its valence
states, i.e. Ce3+ reacts with hydroxyl radical to produce Ce4+ and hydroxyl anion, and
then Ce4+ reacts with the superoxide anion to produce O2 and return to Ce3+. Therefore
they indicated that nano ceria has potential for use in reducing the severity of macular
degeneration and other associated retinal diseases leading to blindness, as well as
other ROI-related diseases, such as stroke, Alzheimers disease, diabetes and
atherosclerosis (Chen et al. 2006).

49

Das et al. (2007) further demonstrated that nano ceria particles (2-5 nm) exhibited
autocatalytic properties which increased the survival of cultured adult rat spinal cord
neurons in an in vitro model. The neurons that had been treated with nano ceria
demonstrated normal electrical functioning similar to untreated neurons. This is indicative
of functional biocompatibility (see Figure 19). Cells treated with nano ceria also showed
higher cell survival rates in the adult rat spinal cord model system with or without hydrogen
peroxide-induced oxidative injury. From this research Das et al. (2007) concluded that
nano ceria autocatalytic particles could be used for the in vivo repair of spinal cord
neurons and for other in vivo applications such as the use of nano ceria for drug delivery
and imaging applications. Das et al. (2007) suggested a detailed pathway for the
regenerative properties of nano ceria and a probable mechanism for its free radical
scavenging property and auto-catalytic behaviour (see Figure 19).

Figure 19: Schematic detailing the proposed regenerative properties of nanoceria

and probable mechanism of cerium oxide nanoparticles free radical scavenging
property and auto-catalytic behaviour (adapted from Das et al. 2007).
However, nano ceria has not shown protective effects in all studies. An example of this
is the study of Auffan et al. (2009), which reported that redox cycling of cerium ions on
the surface of nano ceria (7 nm) in the in vitro exposure system produced an oxidative
stress that lead to genotoxicity in cultured human dermal fibroblasts. The genotoxic
effects of micronuclei and DNA single-strand breaks were first seen at 60 g/L (~4.8
g/cell), which were 2-3 orders of magnitude lower than cytotoxic concentrations of
nano ceria (Auffan et al. 2009).
An environmentally-relevent example is the study of Rogers et al. (2010), which compared
the toxicity of CeO2 of nanoparticle size (primary particle size 7-25 nm) and micron size
(nominally<5m) to the freshwater alga Pseudokirchneriella subcapitata. Nano ceria was
six-fold more potent in reducing algal growth rates after 72 hours than micron-sized ceria
(see Figure 20). The cells exposed to CeO2 particles were found to be permeable to a
DNA binding dye SYTOX Green which indicated that the damage was to the cell
membrane. This effect was photochemically induced and was enhanced for the nanosized CeO2 particles.

50

Figure 20: Seventy two-hour growth inhibition of P. subcapitata exposed to CeO2

(expressed as total cerium oxide) at pH 6.5 nanoparticulate () and bulk ().Three
definitive bioassays were obtained for each particle size (from Rogers et al 2010).
4.4.3 Conclusions
From the work of Das et al. (2007), Chen et al. (2006), and Schubert et al. (2006) it can be
ascertained that nano ceria exhibits antioxidant and biocompatible properties under
specific conditions. Nano ceria could be used in a range of applications within biological
systems, including drug delivery, prevention of cell death or injury caused by oxidative
stress and associated diseases. However, outside of this range of conditions, its redox
cycling ability may be pro-oxidant. Rogers et al. (2010) found in an aquatic test system
that nanoparticle sized CeO2 exhibited higher toxicity than similar micron sized material.
Overall, more data are required with respect to the potential toxicity of nano ceria before
substitution/modification options can be suggested.
4.5 Nano zinc oxide (ZnO)

4.5.1 Background
Zinc oxide (ZnO) is a semi conductor and is an important material that is used in
applications such as cosmetic materials, catalysts, luminescent and piezoelectric devices,
photovoltaic solar cells, chemical sensors and varistors (Grasset et al. 2003). Research on
thin film zinc oxide materials has significantly increased over the last 10 years after it was
found that high quality epitaxial ZnO thin films display excitronic UV laser action at room
temperature which indicates the presence of closely packed hexagonally shaped micro
crystallites in these films and potential use as a semi-conductor. ZnO together with TiO2

51

have a band gap energy close to 3 eV, i.e. their absorption of UV light almost extends up
into the visible region, and a high refractive index. Thus, they are the normal substances
used in broad spectrum sunscreens; an application of particular importance in the
Australian environment (Grasset et al. 2003).
4.5.2 Toxicology of nano zinc oxide
In a general review of the toxicology of engineered nanomaterials, Drew (2009) reported a
number of findings from research involving ZnO nanoparticles and micron-sized particles:

the weight of evidence indicated that insoluble nano ZnO when applied to the skin
remains on the surface and in the outer layer, and does not penetrate through the
stratum cornea

a European evaluation which reported that micron-sized ZnO has been found to be
clastogenic, possibly aneugenic, and inducing DNA damage in cultured mammalian
cells in vitro under the influence of UV light

no evidence was found of phototoxicity on intact skin from studies involving human
volunteers

in vitro cytotoxicity, genotoxicity and photogenotoxicity studies should be interpreted

with caution, because these toxicities may be secondary to the phagocytosis of
mammalian cells when exposed to high concentrations of insoluble particles.

Furthermore, there are issues with the high concentrations used in many in vitro
studies that report the cytotoxicity of nano ZnO. In addition, there is the possibility that
the minor increases in genotoxic potency from co-exposure to ZnO and UV irradiation
may not necessarily represent a true photo-genotoxic effect, but may occur due to an
increased sensitivity of the test system subsequent to UV irradiation (Dufour et al.
2006).
Interestingly, the recent report by Barker and Branch (2008) about the photocatalytic
activity of metal oxide nanoparticles in some sunscreens also included a sample
containing ZnO. However, the relevance of these findings to human sunscreen usage
is highly unlikely, as ZnO is much more water soluble than TiO2 and far less likely to
persist on the skin as intact nanoparticles following sunscreen application.
While the review of Drew (2009) and other research suggest there is low risk from the use
of nano ZnO in sunscreens or cosmetic applications, there are ways to reduce the toxicity
of the material as described in the following sections.
4.5.3 Potential substitution/modification of nano zinc oxide
Grasset et al. (2003) used aminopropyltriethoxysilane (APTES) to coat 20-30 nm ZnO
nano particles. These researchers used three processes (basic, acidic or toluene based)
to perform the surface modification, and the resultant samples were characterised for their
optical, structural and grafting (coating) properties using scanning electron microscopy
(SEM), TEM and X-ray diffraction. Using diffuse reflectance measurements it was noted
that the silane coating did not modify the transmittance spectra of ZnO (see Figure 21). It
was suggested that the coated form of nano ZnO should be used in preference to
uncoated nano ZnO particles, due to its enhanced grafting, structural and optical
properties (Grasset et al. 2003).

52

Figure 21: Optical transmittance of the non-grafted and the grafted zinc oxide
powder (taken from Grasset et al. 2003)
Hong et al. (2006, 2009) reported that nano ZnO particles prepared by direct precipitation
from ammonium carbonate and zinc carbonate and then calcinated at 450C for 3 hours
can be surface modified by capping with oleic acid, coating with SiO2 or grafting with
polystyrene. It can be seen from UV-visible absorption spectra of methyl orange (see
Figure 22) that surface catalytic degradation decreases when nano ZnO is surface
modified with SiO2. This is indicative of lower cytotoxicity for the surface modified nano
ZnO.

Figure 22: UVvisible light absorption of methyl orange solution vs. time using ZnO
and ZnO/SiO2 (from Hong et al. 2006).
Wu et al. (2007, 2008) synthesised biocompatible nano ZnO particles (2-5nm) doped with
Co, Cu and Ni cations and surface-capped with two types of aminosilanes and titania.

53

Synthesis was by a colloidal soft chemical process. The electrical, optical and magnetic
properties of ZnO can be adjusted by doping of the ZnO lattice structure. Dual colour
bioimaging on human cells (U-937 histiocytic lymphoma and MG-63 osteosarcoma cells)
showed turquoise emission at the cytoplasm and blue emission at the nucleus
simultaneously, with high photoluminescence emissions at the blue-violet and UV
wavelength ranges. Mung bean seedlings labelled by synthesised ZnO nanocrystals gave
a bright green emission. Cytotoxicity tests showed that the aminosilane-capped
nanoparticles have little toxicity or are non-toxic. Quantum yields of 80-95% were typical
for these nanocrystals. These results show the potential for live imaging of both plant
systems and human cells using ZnO and Co-doped ZnO nanocrystals.
4.5.4 Conclusions
It can be concluded from the review of Drew (2009) that ZnO used in sunscreen type
products and for other similar applications exhibits a low level of toxicity and penetration in
to the human body. From the work of Grasset et al. (2003) and Hong et al. (2006, 2009),
there are potential surface modification options available for ZnO which have the potential
to reduce toxicity further. The work of Wu et al. (2007, 2008) indicates the potential live
cell imaging opportunities for ZnO particles with a doped crystalline lattice, that have also
been made more biocompatible by surface modification.
4.6 Nano gold (Au)
4.6.1 Background
Gold (Au) nanoparticles are used for a variety of applications including bioimaging,
biosensing and drug delivery (West et al. 2003; Mann et al. 2000 and Hermanson 1996).
Hybridisation assays, flow cytometry and immunobloting are three of the applications that
rely on the excellent detection capabilities derived from nano Aus optical and contrast
properties (Demers et al. 2000; Thanh and Rosenzweig 2002). Nano Au is also receiving
attention for potential medical radiation applications e.g. as a contrast agent for tumour
detection and destruction, due to its radio-thermal properties. Two major issues involved in
using nano Au are insuring biocompatibility and aqueous solubility because biological
processes usually occur on a hydrophilic surface in an aqueous environment. Colloidal Au
is a commercially available product but is unstable and aggregates when electrolytic
solutions are introduced. In order to stabilise nano Au it may be coated with surfactant
molecules (Eychmuller and Rogach 2000; Tan and Zhang 2005).
4.6.2 Toxicology of nano gold
Nano Au has been used for nuclear transfection and targeting in non-viral gene
delivery applications because they easily enter cells, but their in vitro cytotoxicity in
certain cell types at high concentrations has limited the use of uncoated nano Au and
prompted the search for more biocompatible coatings that also aid in cell uptake
(Lewinski et al. 2008). There is also evidence of other adverse effects, such as the
potential for affecting immunological responses (Shukla et al. 2005). Studies of the
cytotoxic potential of nano Au particles, shells and rods have been reviewed by
Lewinski et al. (2008).

54

Li et al. (2008) assessed the potential cytotoxicity of nano Au using MRC-5 human fetal
lung fibroblast cells which were exposed to several different concentrations of 20 nm nano
Au particles. The researchers found that whilst nano Au had been taken up by the
fibroblasts, there were no visible alterations in cell morphology between the control and
the treated groups when examined by TEM. Nano Au taken up by the fibroblasts could be
easily identified forming clusters in a dose-dependent manner inside cellular vesicles (see
Figure 23). In order to examine nano Au induced oxidative damage, Li et al. (2008)
analysed the quantity of 8 hydroxydeoxyguanosine which is a known measure of oxidative
stress in cells. Nano Au induced oxidative damage at the highest concentration of 1 nM,
with a 5-fold increase in 8 hydroxydeoxyguanosine levels over control cells, while the
medium concentration of 0.5 nM did not alter this parameter. Li et al. (2008) concluded
that nano Au induces cytotoxicity in human lung fibroblasts by causing oxidative damage.
The authors also showed that nano Au inhibited cell proliferation and down-regulated cell
cycle genes whilst also affecting genes associated with DNA repair and genomic stability.
.

Figure 23: TEM image of MRC-5 human lung fibroblasts after 72 h culture with 1 nM
nano gold; arrows indicate the presence of Au nanoparticles in vesicles which
cluster around the nucleus (from Li et al. 2008).
As with many metal and metal oxide nanomaterials, differences in particle size and
surface modification of gold nanoparticles can alter their internalisation after binding to
cells, and the subsequent in vitro cytotoxicity (Jiang et al. 2008b). For example, Uboldi et
al. (2008) found that surface modification of nano gold (5-25 nm) with sodium citrate
impaired cell viability and proliferation greater than unmodified nanoparticles, in A549 and
NCIH441 human alveolar type-II cell lines exposed in vitro.
A previous review by Murphy et al. (2008) summarised several studies of the toxicity of
surface-modified nano Au particles; a summary is provided in Table J. Toxicity of surface
modified nano Au depends on particle size, shape, surface group types and cell type.
Two of these research groups reported that gold nanorods capped with
cetyltrimethylammonium bromide (CTAB) were more cytotoxic than overcoating nanorods
with polyethylene glycol (PEG) (Niidome et al. 2006) or phosphatidylcholine (Takahashi et
al. 2006). The process of PEGylation is known to decrease the non-specific binding of

55

molecules to a surface and in the case of gold nanoparticles, it reduces cell uptake to only
6% compared to uncoated particles. The effect of CTAB treatment of nanoparticles may
be due to unbound molecules in the sample and its lower order of biocompatibility
compared to the other capping agents, as CTAB is also a detergent used as a bactericide.
Table J: Summary of selected cytotoxicity data for surface modified gold
nanoparticles, 2004-2007 (adapted from Murphy et al. 2008)
Source

Size (nm)

Shape

Surface group
modification

Cell line

Goodman et al
(2004)

sphere

quaternary
ammonium (cation),
carboxylate (anion)

Connor et al.
(2005)

4, 12, 18

sphere

Cationic nanoparticles
were >7 fold more toxic
than anionic particles of
the same size.
None of these spherical
nanoparticles were toxic
at the micromolar ranges
used.

Shukla et al.
(2005)

3.5 0.7

sphere

citrate, cysteine,
glucose, biotin,
cetyltrimethyl
ammonium bromide
(CTAB)
lysine,
poly(L-lysine)

COS-1 green monkey

kidney cells,
human RBCs,
Escherichia coli
K562 human leukaemia
cells

RAW264.7 mouse
macrophage cells

Niidome et al.
(2006)

65 5 x
11 1

rod

CTAB, polyethylene
glycol (PEG)

HeLa human cervical

epithelial carcinoma
cells

Takahashi et al 65 11
(2006)

rod

phosphatidylcholine

HeLa cells

Huff et al.
(2007)

50 long

rod

CTAB, PEG

KB human oral
epithelial tumor cells

Khan et al.
(2007)

18

sphere

citrate

HeLa cells

Patra et al.
(2007)

33

sphere

CTAB, citrate

BHK21 baby hamster

kidney cells, and
human liver (HEP2G)
and lung (A549)
carcinoma cells

85% cell viability after

being exposed to 100 M
gold nanoparticles for
72 h.
80% cell death with
0.05 mM CTAB-coated
nanorods.
10% cell death at 0.5
mM PEG-coated
nanorods.
Phosphatidylcholine
modified gold nanorods
were much less toxic than
CTAB-coated nanorods.
CTAB-modified gold
nanoparticles were rapidly
internalised in cells to
perinuclear region and
formed permanent
aggregates, but the cells
remained healthy. For the
PEG coating there was
little uptake.
Nanoparticles did not
cause significant gene
expression patterns or
cytotoxicity even though
they were internalised in
the cells.
Non-toxic to BHK21 and
HepG2 cells, but toxic to
A549 cells at 10-120 nM.

56

Toxicity potential

4.6.3 Potential substitution/modification of nano gold

A method by which nano Au can be stabilised in aqueous based solutions is to
encapsulate it in a polymeric material that is both biocompatible and possesses surfacebased functional groups onto which more biomolecules can be attached. One material with
these characteristics is chitosan (derived from chitin, the exoskeleton of crustaceans)
which has two hydroxyl groups and an amino group with a repeating hexosaminide
backbone, and is also biocompatible, biodegradable, hydrophilic, non-toxic, biofunctional
and non-antigenic (Majeti and Ravi 2000; Miyazaki et al. 1981). The efficacy of chitosan in
intracellular drug delivery and with other biomolecules has been well documented (Calvo
et al. 1997; Miyazaki et al. 1990).
Tan and Zhang (2005) reported the successful encapsulation of nano gold using
chitosan nanospheres, producing particles containing fixed ratios of gold:chitosan
content which were studied using UV-visible, dynamic light scattering, transmission
electron microscopy and atomic force microscopy. Figure 24 shows the different UV
absorption spectrum for a range of particle compositions.

Figure 24: UV absorption spectrum of chitosan-encapsulated Au nanoparticles

(from Tan and Zhang 2005)
These researchers studied the biocompatibility of gold encapsulated chitosan
nanoparticles using tetrazolium viability dye and trypan blue exclusion assays in mouse
fibroblast (NIH 3T3) and human colon carcinoma (HT29) cell types. The range of particle
sizes is shown in Figure 25. It was found that viability of cells exposed to nonencapsulated nano gold was significantly lower than cells exposed to encapsulated nano
gold. The authors concluded that cell death is reduced and that biocompatibility is
conferred if nano Au is encapsulated by chitosan (Tan and Zhang 2005).

57

Figure 25: Diameter of chitosan-encapsulated Au nanoparticles (from Tan and

Zhang 2005)
The surface of gold nanoparticles has a high affinity for nucleophilic organic molecules
(e.g. thiols and amines). Thus, the method of alkanethiol-capping of nano gold has
been widely employed as a drug delivery platform for targeting tumour cells with
antineoplastic agents and cytokines (Paciotti et al. 2006). This has commonly involved
the covalent linking of bioactive molecules (e.g. tumour necrosis factor) and thiolderivatised organic molecules (e.g. PEG) separately onto the surface of colloidal gold
nanoparticles. The alkanethiol capping with PEG serves to hydrate the nanoparticle
and, following in vivo treatment, prevents its immune detection and rapid uptake by the
liver and spleen (Paciotti et al. 2006). Such strategies have also been successfully
employed for other metal and metal oxide nanoparticles, including super-paramagnetic
iron oxide nanoparticles (reviewed by Lewinski et al. 2008).

4.6.4 Conclusions
It is possible to use surface coatings (e.g. phosphatidylcholine) or encapsulation with
biocompatible polymers (e.g. chitosan or polyethylene glycol) to reduce the toxic
potential of nano gold, whilst retaining its functionality and useability. Alkanethiolcapping may be used to increase biocompatibility and also functionalise the nano gold
for a range of biomedical applications.

4.7 Nano silver (Ag)

4.7.1 Background
There are currently more commercial products manufactured from silver nanoparticles
(nano Ag) than for any other engineered nanomaterial (Ahamed et al. 2008). There are
several engineering and overseas defence research programs that make use of nano Ag
(Ringer and Ratinac 2004). In the medical field, nano Ag is used to help target specific
organs or cells, and for maintaining constant drug concentrations in the blood (Panyam
and Labhasetwar 2003). Nano Ag has been shown to undergo size-dependent interactions
with a number of viruses, including HIV-1, to inhibit binding to the host cell (Elechiguerra et

58

al. 2005). Nano Ag coated with silica, functionalised with aldehyde groups and bioconjugated with oligonucleotides, has been used to colorimetrically detect DNA (Liu et al.
2005). Previously referred to as colloidal silver, nano Ag possesses antimicrobial activity,
and has been used for a long time to reduce the number and severity of infections in the
treatment of burns, sterilise surfaces such as medical implements (e.g. catheters), and
more recently to control bacterial growth on appliance and tool surfaces in the food
industry (Ulkur et al. 2005; Samuel and Guggenbichler 2004; Ahamed et al. 2008).
4.7.2 Toxicology of nano silver
Wijnhoven et al. (2009) note that one of the main functions of nano Ag is its antimicrobial
toxicity and therefore it should be regarded as a toxic agent. Wijnhoven et al. (2009)
reviewed the available data on the toxicity of nano Ag, and indicated that long term high
dose studies using particles of different sizes are required to ascertain its degree of
toxicity, because its antimicrobial activity is due to the release of Ag+ ions, which is
dependent on both the size and dispersal of nano Ag.
The subchronic inhalation toxicity of nano Ag (18-19 nm) was studied in Sprague-Dawley
rats by Sung et al. (2009). The animals were exposed to nano Ag (average diameter 18
19 nm) for six hours/day, five days/week, for 13 weeks in a whole-body inhalation
chamber. A dose-dependent increase in bile-duct hyperplasia in the liver was seen in both
the male and female rats, while mixed inflammatory cell infiltrate, chronic alveolar
inflammation, and small granulomatous lesions were seen in the lungs. Target organs for
silver nanoparticles were considered to be the lungs and liver in the male and female rats.
A no observable adverse effect level (NOAEL) of 100 g/m3 is suggested from the
experiments.
The oral toxicity of nano Ag (60 nm) was studied by Kim et al. (2008) over a period of 28
days (at 30, 300 and 1000 mg/kg/day) in Sprague-Dawley rats following the Organization
for Economic Cooperation and Development (OECD) Test Guideline 407. The results
indicated that nano Ag do not induce genetic toxicity in male and female rat bone marrow
in vivo, but nonetheless, the tissue distribution of nano Ag did show a dose-dependent
accumulation of silver content in all the tissues examined. In particular, a gender-related
difference in the accumulation of silver was noted in the kidneys, with a two-fold increase
in the female kidneys when compared with the male kidneys.
4.7.3 Potential substitution/modification of nano silver
Chung et al. (2008) surface modified nano Ag using phospholipids containing disulfide
groups. Biocompatible nanoclusters were formed when sodium borohydride was used to
reduce both silver ions and sulfide bonds (see Figure 26). TEM and optical absorption
spectra determined that well-dispersed nanoclusters of 3.8 nm diameter were formed with
a phospholipid/Ag ratio of 0.4. The elemental and molecular structure of the nanoparticles
were characterised by XPS and Fourier Transform Infrared (FTIR) with biocompatibility
being assessed using cell culture tests. Nanoclusters became internalised into fibroblast
or platelet cells after a short period of incubation and cells remained unharmed.
As with nano gold, alkanethiol-capping may also be used to increase the
biocompatibility of nano Ag, but such surface modifications would also decrease its
antibacterial activity, and potentially reduce the bactericidal usefulness of the material.

59

Figure 26: Illustration for the three phospholipids derivatives DSPC, DSPE, DSPBr
and their one-step reduction for manufacturing water-soluble silver nanoparticles
(adapted from Chung et al. 2008).
4.7.4 Conclusions
Nano Ag can be surface modified with hydrophilic groups, such as phosphorylcholine or
phosphorylethanolamine, to increase biocompatibility. Such modifications would also
decrease its antibacterial activity and potential usefulness in many current applications.
However, further functionalisation of biocompatible forms of nano Ag may provide potential
new applications, such as in biomedical diagnostics and biosensors.

4.8 Nano silica (SiO2)

4.8.1 Introduction
Normal silica has two different forms, i.e. amorphous and crystalline. The most common
forms of crystalline silica are tridymite, quartz and cristobalite. Crystalline silica is present
in many rocks in most locations throughout the world. Due to its abundance in nature,
crystalline silica has been used in many technologies, e.g. in glass making, ceramics and
semi-conductors. Scientists have long known about the problems created by excessive
and prolonged exposure to fine particulate crystalline silica (silica dust), which causes
silicosis in miners, a non-cancerous lung disease. In 1996 the IARC categorised crystalline
silica as a Group1 carcinogen - carcinogenic to humans based on occupational lung
cancer incidence after a review of the available epidemiological data. In Australia
exposure standards for amorphous silica, which is less hazardous, are set on the basis of
having less than 1% crystalline silica content. Fumed silica (respirable dust) has a National
Exposure Standard of 2 mg/m3 in Australia, and a number of other amorphous silica types
have a National Exposure Standard of 10 mg/m3.
Nano silica has a wide range of applications in microelectronics, thin film technology and
many other industries (Suzuki et al. 2004; Che et al. 2003; Salleo et al. 2003). Nano silica

60

also has applications as an enterosorbant and is a boosting agent used in

pharmaceuticals (Alyushin and Astakova 1971; Chuiko 2003). Nano silica has also been
used for medical and drug development applications such as the entrapment of
biomolecules into nanoshells which have a core of silica and a metallic outer layer. These
particles can be injected into the subject and preferentially concentrate at the site of
required drug release. Nanoshells have also been used to carry molecular conjugates to
the antigen sites expressed on cancer cells and to malignant tumors (Hirsch et al. 2003a,
b; Brongersma 2003).
4.8.2 Toxicology of nano silica
Nano silica exhibits concentration dependent toxicity towards different cell types, e.g. red
blood cells (RBCs), micro-organisms, gametes, and white blood cells. The mechanism of
toxicity of nano silica is thought to be due to its highly adhesive properties to cellular
surfaces which can lead to changed membrane structures and cellular surfaces (Chuiko
2003; Gunko et al. 2007; Nishimori et al. 2009).
Gunko et al. (2007) found the cytotoxicity of nano silica towards RBCs to be both
concentration and size dependent. The interaction of RBCs with partially silylated (50%)
and unmodified A-300 nano silica was studied by thermally stimulated depolarisation
currents (TSDC), X-Ray Diffraction (XRD) and microscopy. Unmodified nano silica at a low
concentration (<0.01 wt%) in a buffered aqueous suspension had a weak haemolytic
effect on RBCs, but at a high concentration of 1 wt % unmodified nano silica haemolysed
100% of RBCs to shadow corpuscles. In the same experiments, partially (50%) silylated
nano silica was less haemolytic in comparison with unmodified silica at the same
concentration (Gunko et al. 2007).
Nishimori et al. (2009) found that mice injected intravenously (twice weekly for four weeks)
with 70 nm nano silica particles exhibited chronic toxicity in the spleen and liver while the
kidney, lung, heart and brain remained unaffected. Histological analysis of these mice
revealed splenic megakaryocyte accumulation of nano silica particles and hepatic
microgranulation.
The particle shape of nano silica is also an important factor in its toxic potential. For
example, Nelson et al. (2010) microinjected silica nanospheres (50 and 200 nm) or
nanowires (55 nm 2.1 m) into the yolk sack of embryonic zebrafish. They showed
that silica nanomaterials with aspect ratios >1 were highly toxic (LD50 = 110 pg/g
embryo) and caused embryo deformities, whereas silica nanomaterials with an aspect
ratio of 1 were neither toxic nor teratogenic at the same concentrations. Silica
nanowires also interfered with nerve development and function, prompting the
researchers to emphasise the need for further testing of such nanomaterials before
they can be used as platforms for drug delivery.
4.8.3 Potential substitution/modification of nano silica
Gunko et al. (2006) reviewed the properties of fumed nano silica that make it useful as a
medicinal preparation with high sorption capacity for the treatment of different diseases.
Six properties are highlighted:

the passive and unreactive nature of nano silica in redox and acid-base reactions
together with low surface charge density (pH<8)

61

small particle size (average ~9.1 nm) which form aggregates through hydrogen and
siloxane bonds

nano silica interacts with certain membrane structures of micro-organisms and cells
(e.g. integrin proteins)

nano silica particles are easily transported in aqueous media because of fast
diffusion

substances are easily adsorbed onto the external surface of nonporous primary nano
silica particles

there are changes in the interfacial water structure several nanometres thick above
the nano silica surface.

The authors noted that the surface modification of nano silica with proteins or polymers
(such as polyvinylpyrrolidone, PVP and PEG) leads to destruction of the secondary
structures and the formation of new secondary structures (50-100 nm). These new
structures reduced the diffusion of modified nano silica particles due to the formation of an
outer adsorption layer which leads to greater biocompatibility (Gunko et al. 2006). The
authors gave the example of the haemolysis of red blood cells being reduced if the nano
silica used is surface modified with proteins or polymers such as PVA (see Figure 27).
Such partial hydrophobisation by polymer coating or alkylsilylation causes reduced
hydrophilicity of the nano silica, which increases particle aggregation and reduces direct
membrane effects (Gunko et al. 2006).

Figure 27: Influence of PVA immobilised onto nanosilica A-300 on red blood cells
hemolysis as a function of PVA amount (last point corresponds to pure PVA
solution without silica) (taken from Gunko et al. 2006).
4.8.4 Conclusions
It is possible to modify the surface of nano silica with alkylsilylation, polymers or proteins to
increase its hydrophobic character, causing increased particle aggregation and reduced
direct membrane effects, and thereby improving its biocompatibility. Due to potential
toxicity of silica nanomaterials with high aspect ratios, consideration should also be made
as to whether nanowires may be substituted with nanospheres, while retaining
functionality for a particular application.

62

4.9 Quantum dots

4.9.1 Background
Quantum dots (QDs) are semi-conducting nano crystalline structures, ranging from 2 to
100 nm depending on the types of surface coating or functional group added (Lewinski et
al. 2008), made from materials such as cadmium selenide or cadmium telluride (Tan and
Zhang 2005). For biological applications, QDs typically have a core/shell conjugate
structure, with the core composed of atoms from groups IIVI (e.g. CdSe, CdTe, CdS,
PbSe, ZnS, and ZnSe) and groups IIIV (e.g. GaAs, GaN, InP, and InAs) on the periodic
table (Lewinski et al. 2008).
QDs absorb white light which is then re-emitted as a specific colour after a couple of
nanoseconds. QDs range from 10 to 250 atoms in diameter and contain anywhere from
100 to 20000 electrons. Energy levels of QDs can be controlled by changing their shape
and size in order to control the depth of the potential. The science of QDs started to
develop during the 1980s when their potential was realised to build nano-scale computer
applications in which light is used to process information. Since this time more recent
medical applications have included molecular tagging in order that proteins, viruses,
antibodies or DNA can be tracked in the human body. In these applications, QDs behave
as a fluorophore absorbing energy at a particular wavelength and re-emitting energy at a
different longer wavelength (Tan and Zhang 2005).
4.9.2 Toxicology of quantum dots
Many of the core elements in QDs are known to be toxic at low concentrations, e.g.
cadmium, selenium, lead and arsenic. Therefore, stability is a critical factor in the cytotoxic
potential of QDs, as toxicity will eventuate from the release of toxic metal ions under
conditions that promote QD degradation, such as an oxidative environment (Lewinski et al.
2008).
Bare QD cores, and some QDs with biodegradable shells, are readily endocytosed by
cells into endosomes, which are then trafficked to various cellular compartments.
These include the acidic (~pH5) and oxidative environments of lysosomes and
peroxisomes, which can degrade QDs and result in the leaching of toxic metals from
the core (Chang et al. 2006). Studies of the cytotoxic potential of QDs have mainly
concerned CdSe/ZnS cores (recently reviewed by Lewinski et al. 2008), as these are
considered the most versatile for biological applications.
In a general review of the toxicology of QDs by Drew (2009), a number of conclusions
were made including:

the metal core of QDs can easily be exposed and can be a means by which toxicity
can occur if the body is exposed to this material

internalisation of uncoated QDs led to leaching of both cadmium and selenium from
the QD core in the low pH of endosomes

applying a surface coating such as chitosan or polyethylene glycol to a QD can make

it biocompatible and confer specific functionality

QDs are recognised in many instances as being foreign to the body and may
therefore be sequestered by the reticuloendothelial systems in the major organs

63

QDs do not appear to cause acute toxicity after being injected into the venous
system, however this does depend on whether QDs are internalised by cells

there is no data available on the toxicity due to inhalation of QDs

the core metal cadmium along with other similar heavy metals are known toxic
agents in most biological systems.

4.9.3 Methods of modification of quantum dots

For biomedical applications, QDs require a stable biocompatible shell coating to
prevent core degradation, such as chitosan, polyethylene glycol or silica (Gerion et al.
2001; Ryman-Rasmussen et al. 2006). Additional functionalities or bioconjugates can
be added to the surface to improve bioavailability or introduce bioactivity.
The cytotoxicity of QDs containing Cd/Se cores can be progressively reduced by PEGpolymer coatings of increasing thickness, which prevent QDs from being internalised
into the cell and subsequent stages of intracellular degradation (Chang et al. 2006).
Surface chemistry and charge also affects the interaction of QDs with serum proteins,
which can bind to the surface to increase the overall hydrodynamic diameter of the QD
>5.5 nm, and result in markedly delayed clearance from the body (as detailed in
section 3.1.2) (Choi et al. 2007).
The successful surface modification with chitosan of nano Au has been employed to
increase biocompatibility (Tan and Zhang 2005), see Section 4.6.3, and can also be used
for modifying QDs. In vitro exposure studies using NIH 3T3 mouse fibroblast and HT29
human colon carcinoma cells and Trypan blue and MTT exclusion assays revealed that
chitosan-encapsulated QDs exhibited improved biocompatibility over their nonencapsulated analogues. A number of different QD/chitosan complexes with varying light
absorbance properties can be formed in this process depending on the ratio of
components used (Tan and Zhang 2005). Figure 28 shows the different UV absorption
spectra of the different chitosan-encapsulated complexes.

64

Figure 28: UV absorption spectrum of chitosan-encapsulated QDs (from Tan and

Zhang (2005)
4.9.4 Conclusions
It is possible to encapsulate QD cores with stable shell coatings made from biocompatible
polymers (e.g. chitosan or polyethylene glycol) to significantly reduce their cellular uptake
and degradation, and consequently their cytotoxicity, whilst retaining functionality and
useability.

65

4.10 Conclusions on substitution/modification options for engineered

nanomaterials
The potential modifications for the different engineered nanomaterials are listed in Table
K. For most of the engineered nanomaterials examined in this review there are
substitution/modification options that have the potential to reduce the toxicity for specific
engineered nanomaterials. Surface modification is the most common
substitution/modification method used.
Summary
There are known methods that can be used to substitute/modify engineered nanomaterials
that are used (or researched) in Australia. The methods of surface modification,
encapsulation, particle size control, functional group addition and crystalline phase type
control can each be employed for different engineered nanomaterials in order to decrease
their potential toxicity. However in some cases, such modifications may affect the
functionality of nanomaterials in relation to intended end-uses.
If the researchers, developers and manufacturers of engineered nanomaterials adopt
these methods then it is possible at this early stage of nanomaterial development to
decrease toxicity of materials that are to be manufactured. The downstream effect of this
will be to reduce the risk posed by the use of these nanomaterials not only in the
workplace but also in the general community.

66

Table K: Summary of substitution/modification options for different engineered

nanomaterial types
NP Type

Suggested Strategies

Carbonaceous NPs
Carbon
Increase hydrophilicity by surface
modification in order to decrease
nanotubes
toxicity and increase biocompatibility.
Modify biodistribution to reduce
persistence.
Keep CNTs shorter than 5 m in
length.
Fullerenes

Increase hydrophilicity by surface

modification in order to decrease
toxicity and increase biocompatibility.

Substitution/Modification
Options

References

Sidewall functionalisation with

hydrophilic functional groups;
surface modification with grafted
polyetherimides or low molecular
weight chitosan.

Sano et al. 2001

Bettinger 2003
Zhang et al. 2003,
2004, 2007;
Katz and Willner
2004
Ge et al. 2005;
Sayes et al. 2006a;
Ke et al. 2007
Sayes et al. 2004
Taylor and Walton
1993
Schneider et al. 1994

Functional group modification by

attaching water soluble groups,
such as alcohols or carboxyl
groups.

Metal oxide NPs

Utilise the knowndifferences in
Substitute the less toxic and
Titanium
dioxide
reactivity and phototoxicity between the reactive rutile form for the more
two main crystalline phases of titania. toxic and reactive anatase form in
applications where it does not
remove functionality.
Cerium
Nano ceria appears to be
Not possible to suggest
Dioxide
biocompatible in several applications, modifications at this time.
but can be pro-oxidant and is a
potential issue for aquatic
environments.
Zinc oxide
Already of low toxicity, and can reduce Surface modification with silane
potential toxicity further through
(APTES) or oleic acid/SiO2 or
polystyrene;
surface or crystal lattice modification.
crystal modification by lattice
doping with other mineral
elements..
Metal NPs
Gold
Encapsulation with a biocompatible
Encapsulation with chitosan or
polymer to reduce toxicity, whilst
polyethylene glycol; surface
retaining functionality.
coating with phosphatidylcholine;
functionalisation by alkanethiol
capping.
Silver

Other NPs
Silica

67

Surface modification by conjugation

with hydrophilic moieties to reduce
toxicity of nano silver products.

Surface functionalisation with

phosphorylethanolamine,
phosphorylcholine or alkanethiol
capping, in applications
where it does not remove
functionality.

Reduce hydrophilicity to increase

aggregation and reduce direct
membrane effects.

Partial hydrophobisation by
polymer coating or silylation.

Sayes et al. 2006b

Selloni et al. 1998
Vittadini et al. 1998
Jiang et al. 2008a
Das et al. 2007
Chen et al. 2006
Schubert et al. 2006
Rogers et al. 2010
Grasset et al. 2003
Hong et al. 2006,
2009
Wu et al. 2007, 2008

Tan and Zhang 2005

Majeti and Ravi 2000;
Miyazaki et al. 1981
Niidome et al. 2006;
Takahashi et al.
2006;
Paciotti et al. 2006
Chung et al. 2008

Gunko et al. 2006

Quantum
dots

68

Decrease cellular uptake

and intracellular degradation to reduce
toxicity from leaching metals, whilst
retaining functionality in most cases.

Tan and Zhang 2005

Encapsulation of core with
stable biocompatible shell, e.g with Gerion et al. 2001
chitosan, silica or PEG, that
decreases endocytosis and
endosome degradation.

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Appendix 1 - Substitution/modification of nanomaterials survey

questionnaire
(developed in SurveyMonkey and made available via www.surveymonkey.com)
BACKGROUND
RMIT University has been commissioned by the Office of the Australian Safety and
Compensation Council (ASCC) to examine options for substitution/modification of engineered
nanomaterials, to reduce the potential hazards associated with handling the materials in the
workplace.
The project is part of the Nanotechnology OHS Program, in support of the National
Nanotechnology Strategy. Information about the Program can be found at:
http://www.ascc.gov.au/ascc/HealthSafety/EmergingIssues/Nanotechnology/
This survey will provide RMIT University with information on the substitution/modification
approaches that Australian nanotechnology organisations use. It will also inform about health
and safety considerations when purchasing and manufacturing nanomaterials.
The project also involves a literature review of nanomaterials modifications, to determine how
hazard properties change as a result of modifying the materials.
PARTICIPATION IN THE SURVEY
We would like to invite you, as a member of the Australian Nano Business Forum (ANBF), or
the Australian Nanotechnology Alliance (ANA) or the Australian Research Council
Nanotechnology Network (ARCNN), to participate in this survey.
Your participation is voluntary. The information you give us will be treated in the strictest
confidence. No details about you or your organisation will be provided to anyone. All
identifying information (such as names, email addresses and telephone numbers) will be
destroyed at the end of the project.
If there are any questions you cannot answer, please leave them blank.
If you agree, we may ask if we can interview you to gain a more detailed understanding of
specific issues.
Survey findings will be documented in a report to be published on the Office of the ASCCs
website.
1. Which of the following best describes the sector you work in?
Commercial/Industry Research
Government Research
University Research
Other (please specify)

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2. What type(s) of engineered nanomaterials does your organisation work with?

Please indicate all those that apply:
Carbon Nanotubes (Multi-walled)
Carbon Nanotubes (Single-walled)
Dendrimers
Fullerenes
Graphene sheets
Metal oxides
Metals
Nanoarrays
Nanocrystals
Nanowires
Quantum dots
Other (please specify)

3. If you have extra information about the type(s) of materials you work with, please
write it here. For example, if you work with metal oxides, please describe the type of
oxide, e.g. zinc oxide or titanium dioxide.

4. Please describe the type(s) of activities in which you use engineered

nanomaterials (e.g. developing nanomaterials for use in textiles).

5. How do you obtain the engineered nanomaterials? Please tick all options that apply.
Do you..
Obtain them from within Australia
Obtain them from overseas
Manufacture them
6. If you purchase engineered nanomaterials, what health and safety issues do you
consider when deciding which materials to purchase?

7. If you manufacture the nanomaterials, what health and safety issues do you consider
in their design?

8. If you obtain the nanomaterials from Australia or overseas, do you use modification
and/or substitution to change their attributes/properties?
Yes
No (If answer is no, please go to question 11)

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9. If yes to Q8 above, why do you modify and/or substitute the engineered

nanomaterials?
Is it to change..
adhesive properties
agglomeration properties
chemical properties
conductive properties
ecological properties
environmental properties
explosive related properties
manufacturing cost
manufacturing method
optical properties
particle size
physical properties
potential health effects
solubility properties
toxicological properties
Other (please specify)

10. What approaches do you use to modify/substitute the nanomaterials?

Please tick all options that apply.
Add functional groups
Change form of the material, e.g. change from powder to dispersion in liquid
Change particle shape
Change particle size
Modify crystalline structure, e.g. inserting dopants
Modify surface characteristics
Other (please specify)

11. If there is anything you would like to add about nanomaterial

modification/substitution that you would like us to specifically consider, please write it
here...

12. Would you be willing for us to contact you directly to discuss your work involving
engineered nanomaterials?
If yes, please provide us with your contact details:
Name:
Email Address:
Phone Number:
Done

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